James H. Dean
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 Harold Dean, who also goes by James H Dean, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1973. James had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2017 - December 31, 2020
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
March 7, 2017 - December 31, 2020
AMERICAN PORTFOLIOS ADVISORS, INC
August 24, 2002 - March 9, 2017
OSAIC FA, INC.
May 8, 2002 - March 9, 2017
OSAIC FA, INC.
March 23, 1988 - December 31, 1991
CARILLON INVESTMENTS, INC.
October 18, 1985 - September 29, 1986
OLD SLIP CAPITAL MANAGEMENT, INC.
June 2, 1981 - February 19, 1983
NEW ENGLAND SECURITIES
March 27, 1973 - March 4, 1975
NYLIFE SECURITIES LLC
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 1
Date: 3/22/1973
Registered Representative ExaminationCurrent Firm
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
