James W. Gill
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James William Gill, who also goes by Jim Gill, Jimmy Gill, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2013. James had worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, Series 52TO, SIE, Series 52, Series 7, Series 27, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2018 - June 16, 2020
FORD FINANCIAL GROUP
November 9, 2018 - July 8, 2020
LPL FINANCIAL LLC
October 16, 2017 - November 13, 2018
WELLS FARGO CLEARING SERVICES, LLC
October 16, 2017 - November 13, 2018
WELLS FARGO CLEARING SERVICES, LLC
September 26, 2013 - October 10, 2017
SCF SECURITIES, INC.
June 27, 2013 - October 10, 2017
SCF INVESTMENT ADVISORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 8/23/2022
General Securities Representative ExaminationSeries 52TO
Date: 8/23/2022
Municipal Securities Representative ExaminationCurrent Firm
FORD FINANCIAL GROUP
CRD#: 284977 / SEC#: 801-108765
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,023 |
| AUM (Assets Under Management) | $ 537,133,786 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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