James R. Hillard
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 Randall Hillard, who also goes by James Hillard, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2021. James had worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2022 - December 18, 2023
FISHER INVESTMENTS
September 30, 2021 - May 3, 2022
J.P. MORGAN SECURITIES LLC
September 30, 2021 - May 3, 2022
J.P. MORGAN SECURITIES LLC
July 9, 2021 - August 23, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 5, 2021 - August 20, 2021
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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 7TO
Date: 4/5/2021
General Securities Representative ExaminationCurrent Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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