James W. Jelf
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 Wesley Jelf SR, who also goes by James W Jelf Sr, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1980. James had worked at 12 firms and has passed the Series 63, Series 7, Series 24 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 30, 1994 - December 31, 1995
SUNAMERICA SECURITIES, INC.
August 3, 1992 - August 6, 1992
SECURITIES AMERICA, INC.
August 3, 1992 - October 26, 1994
UBS FINANCIAL SERVICES INC.
March 10, 1989 - October 4, 1989
NATIONAL SECURITIES CORPORATION
March 15, 1988 - February 23, 1989
PAN OCEANIC INVESTMENTS, INC.
November 20, 1987 - March 18, 1988
STONERIDGE SECURITIES, INC.
January 8, 1986 - November 30, 1987
ALLIED CAPITAL GROUP, INC.
March 9, 1985 - January 1, 1986
FIRST EASTERN SECURITIES CORPORATION
August 10, 1983 - December 26, 1984
CHESLEY AND DUNN, INC.
January 25, 1983 - August 29, 1983
VANTAGE SECURITIES OF COLORADO, INC.
July 1, 1982 - February 18, 1983
LPL FINANCIAL LLC
August 22, 1980 - June 9, 1982
OTC NET INCORPORATED
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
SUNAMERICA SECURITIES, INC.
CRD#: 20068 / SEC#: , 8-38083
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AIG ADVISOR GROUP | 100% SHAREHOLDER OF SUNAMERICA SECURITIES, INC. | |
| BOURDAMIS, SALLY HANSON | VICE PRESIDENT, BROKERAGE SERVICES | 1812157 |
| CANNON, JAMES RICHARD | PRESIDENT, CEO, DIRECTOR | 1755987 |
| CAPRIOTTI, JACQUELYN MARIE | VICE PRESIDENT, VISION 2020 | 1575021 |
| CAVANAUGH, MARY LOUISE | DIRECTOR | 1977110 |
| DENBY, SUSANNE MARIE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2617514 |
| DORFMAN, KENNETH PAUL | CROP | 2460380 |
| FIELDS, INGER WILSON | FINOP | 1690043 |
| FREEMAN, BRUCE TODD | ASSOCIATE VICE PRESIDENT, MUNICIPAL PRINCIPAL | 2451499 |
| GAUGHAN, BRIDGET MARY | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY | 2691949 |
| GAUGHAN, BRIDGET MARY | DIRECTOR | 2691949 |
| KUBICA, LISA SUE | EXECUTIVE VICE PRESIDENT, COO, SROP, MP | 1098488 |
| MCREYNOLDS, MICHAEL RONALD | ASSISTANT VICE PRESIDENT, INSURANCE | 816602 |
| PARKER, RALPH JOEL | ASSISTANT VICE PRESIDENT, INSURANCE | 2587496 |
| RADFORD, CHRISTOPHER BLAKE | SENIOR VICE PRESIDENT, NATIONAL SALES | 1564302 |
| ROTHSTEIN, STEVEN ELLIOT | EXECUTIVE VICE PRESIDENT, CFO, TREASURER | 1292456 |
| ROTHSTEIN, STEVEN ELLIOT | DIRECTOR | 1292456 |
| SONCHIK, RITA LYNN | VICE PRESIDENT, ACCOUNTING | 1865389 |
| STAUFFER, RALPH OWEN JR | VICE PRESIDENT INFORMATION TECHNOLOGY | 3255670 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 16 |
| Bond | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
