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JT

James M. Tait

MEMPHIS CAPITAL
Memphis, TN 38119
Some features on this profile are disabled
CRD#: 716954
JT

Professional summary

James Minor Tait, who also goes by James M Tait, James Minor Tait III, Jim Tait, is a registered financial professional currently at MEMPHIS CAPITAL located in Memphis, Tennessee.

James is registered as a RR (Registered Representative) and started their career in finance in 1980. James has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 52, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James M Tait | James Minor Tait Iii | Jim Tait

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Minor Tait's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 22, 2018 - Present

MEMPHIS CAPITAL

Office #1: 6410 Poplar Avenue Suite 500, Memphis, TN 38119
BD
CRD#: 8564
Memphis, TN
Past

January 26, 2017 - November 27, 2017

TRIBAL CAPITAL MARKETS, LLC

BD
CRD#: 38901
ORLANDO, FL
Past

December 10, 2014 - March 2, 2016

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
MEMPHIS, TN
Past

April 24, 2012 - October 15, 2014

OPPENHEIMER & CO. INC.

BD
CRD#: 249
MEMPHIS, TN
Past

November 15, 1980 - March 6, 2012

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

October 14, 1980 - February 5, 1985

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

BD
CRD#: 6950

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Tennessee
(1/23/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 10/16/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/24/1990
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 11/15/1980
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/9/1980
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/28/1991
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MEMPHIS CAPITAL
HANOVER SECURITIES | STONEWALL INVESTMENTS, INC. | STONEWALL INVESTMENTS TENNESSEE INC. | MEMPHIS CAPITAL | INVESTMENT SPECIALISTS COMPANY | INVESTMENT SPECIALISTS CO., INC.

CRD#: 8564 / SEC#: , 8-34927

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
6410 Poplar Avenue Suite 500, Memphis, TN 38119
Mailing Address
6410 Poplar Ave., Suite 320 Suite 320, Memphis, TN 38119
Phone number
(901) 261-5950
Established
Indiana since 10/08/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HANOVER SECURITIES, LLCOWNER
MARY WELLS QTIP TRUST / MARY LOUISE NAKAE (WELLS) TRUSTEEOWNER
GOODWIN, CASEY DOUGLASPRESIDENT/CEO6808410
HANOVER, JOHN DAVIDGENERAL COUNSEL6011724
NAKAE, MARY LOUISEOWNER/TRUSTEE1923430
PARATORE, JACK ANTHONYCCO356248
RODRIGUEZ, AARON NETZAHUALCOYOTLFINOP & CFO5421965

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.

Company Information

MEMPHIS CAPITAL

CRD#: 8564Memphis, TN 38119

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