James W. Steves
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 William Steves was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1980. James had worked at 8 firms and has passed the Series 63, SIE 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
January 19, 2006 - January 2, 2018
CADARET, GRANT & CO., INC.
July 26, 2004 - December 5, 2005
AMERICAN GENERAL EQUITY SERVICES CORPORATION
August 27, 1998 - May 26, 2004
AMERICAN GENERAL SECURITIES INCORPORATED
February 21, 1996 - August 21, 1998
LEIGH BALDWIN & CO., LLC
January 30, 1990 - March 11, 1996
MML INVESTORS SERVICES, LLC
May 28, 1985 - December 31, 1989
NEW ENGLAND SECURITIES
November 14, 1980 - July 9, 1985
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 20, 1980 - July 9, 1985
EQUITABLE ADVISORS, 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: 10/28/1980
Registered Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
