James F. Dewaters
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 Frederick Dewaters, who also goes by Jay Dewaters, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2014. James had worked at 3 firms and has passed the Series 65, Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2019 - October 15, 2019
SPECIALIZED ADVISORS
August 17, 2018 - June 10, 2019
KMS FINANCIAL SERVICES, INC.
August 18, 2014 - September 10, 2014
EDWARD JONES
May 28, 2014 - September 9, 2014
EDWARD JONES
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
Current Firm
SPECIALIZED ADVISORS
CRD#: 299308 / SEC#: 801-114303
Contact information
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.
