RJ
Robert S. James
CAPITAL ONE SECURITIES
Houston, TX 77002-2925
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CRD#: 6182912
RJ
Professional summary
Robert Scott James, who also goes by Robert S James, is a registered financial professional currently at CAPITAL ONE SECURITIES, INC. located in Houston, Texas.
Robert is registered as a RR (Registered Representative) and started their career in finance in 2013. Robert has worked at 1 firm and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Robert S James
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Robert Scott James's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 8, 2013 - Present
CAPITAL ONE SECURITIES, INC.
Office #1: 800 Capitol Street Suite 3400, Houston, TX 77002-2925BD
CRD#: 44158
Houston, TX
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/10/2023)
RR
Connecticut(12/5/2014)
RR
Florida(1/10/2017)
RR
Illinois(12/5/2014)
RR
Louisiana(8/8/2013)
RR
Maryland(12/5/2014)
RR
Massachusetts(12/5/2014)
RR
New York(12/5/2014)
RR
Pennsylvania(8/26/2013)
RR
Texas(8/26/2013)
RR
Virginia(1/10/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
CO
CAPITAL ONE SECURITIES, INC.
CAPITAL ONE SECURITIES, INC. | SOUTHCOAST CAPITAL L.L.C. | HIBERNIA SOUTHCOAST CAPITAL, INC. | CAPITAL ONE SOUTHCOAST, INC | CAPITAL ONE SOUTHCOAST
CRD#: 44158 / SEC#: , 8-50561
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
201 St. Charles Avenue Suite 1830, New Orleans, LA 70170
Mailing Address
201 St. Charles Avenue Suite 1830, New Orleans, LA 70170
Phone number
(504) 533-7377
Established
Louisiana since 04/01/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL CORPORATION | 100% SHAREHOLDER | |
| GIBNEY, JOSEPH DONOUGH | DIRECTOR | 3117394 |
| HALPRIN, GABRIELLE BAILLEUX | CHIEF FINANCIAL OPERATIONS OFFICER (FINOP) | 5087341 |
| JOHNSON, RUSSELL ALAN | DIRECTOR | 2785704 |
| KUCERA, DAVID JOHN | DIRECTOR | 2598213 |
| MULLIGAN, ROBERT | CHIEF COMPLIANCE OFFICER | 1584973 |
| NAKAMURA, SEIJI PETER | DIRECTOR | 2561992 |
| PORPHY, JEFFREY R | DIRECTOR | 4107535 |
| TULIP, STEVEN ANDREW | PRESIDENT AND DIRECTOR | 2540149 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAPITAL ONE SECURITIES, INC.
CRD#: 44158Houston, TX 77002-2925TRUST BUT VERIFY
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