James English
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 English, who also goes by James Michael English, Jim English, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 14 firms and has passed the Series 66, Series 63, Series 7, Series 22, Series 6 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
April 1, 2013 - December 31, 2013
ALPS DISTRIBUTORS, INC.
March 28, 2012 - May 19, 2015
STADION MONEY MANAGEMENT, LLC
November 1, 2010 - March 8, 2012
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
November 1, 2010 - April 1, 2013
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
October 5, 2010 - October 21, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 6, 2010 - October 21, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 4, 2008 - May 12, 2009
FRANKLIN DISTRIBUTORS, LLC
December 6, 2006 - August 6, 2008
BNY MELLON SECURITIES CORPORATION
August 23, 2005 - December 7, 2006
LPL FINANCIAL LLC
January 21, 2003 - May 13, 2005
DWS DISTRIBUTORS, INC.
October 20, 1987 - July 10, 2001
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
January 9, 1986 - October 9, 1987
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
December 20, 1985 - January 6, 1986
SELIGMAN SECURITIES, INC.
November 14, 1985 - January 1, 1986
AMERICAN PACIFIC SECURITIES CORPORATION
January 18, 1985 - December 24, 1985
VICORP SECURITIES, INC.
May 14, 1981 - January 22, 1985
GREEN HILL FINANCIAL SERVICE CORPORATION
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
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
