James M. Adams
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 Moomaw Adams was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1980. James had worked at 13 firms and has passed the Series 63, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2008 - November 25, 2013
CAPNET SECURITIES CORPORATION
April 19, 2006 - January 5, 2007
WFG INVESTMENTS, INC.
September 29, 2004 - November 3, 2005
CANTOR FITZGERALD & CO.
January 5, 2000 - October 13, 2004
FSC SECURITIES CORPORATION
January 21, 1999 - February 10, 1999
MOMENTUM INDEPENDENT NETWORK INC.
May 6, 1996 - January 29, 1997
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
March 29, 1994 - May 10, 1996
M.G.S.I. SECURITIES, INC.
January 12, 1989 - April 5, 1994
WESTCAP GOVERNMENT SECURITIES, INC.
January 3, 1989 - April 5, 1994
WESTCAP SECURITIES, L.P.
September 15, 1988 - January 7, 1989
GREYSTONE SECURITIES, INC.
April 5, 1988 - April 5, 1994
WESTCAP SECURITIES, L.P.
April 5, 1988 - April 5, 1994
WESTCAP GOVERNMENT SECURITIES, INC.
June 4, 1985 - April 26, 1988
RAUSCHER PIERCE REFSNES, INC.
August 5, 1983 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
March 29, 1982 - July 28, 1983
THOMSON MCKINNON SECURITIES INC.
June 2, 1980 - October 6, 1981
WESTCAP SECURITIES, L.P.
State Registrations and Notice Filings
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Exams
Current Firm
CAPNET SECURITIES CORPORATION
CRD#: 23669 / SEC#: , 8-40635
Contact information
Documents
Red Flags
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