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JD

James C. Deslonde

Some features on this profile are disabled
CRD#: 732530
JD

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 Charles Deslonde was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1981. James had worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 53, Series 24, Series 4 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 6, 2010 - November 25, 2024

WORLD FIRST FINANCIAL SERVICES, INC.

BD
CRD#: 1612
Venice, FL
Past

March 4, 2008 - March 12, 2009

WESTROCK ADVISORS, INC.

BD
CRD#: 114338
NEW YORK, NY
Past

October 1, 2003 - April 10, 2007

WORLD FINANCIAL SERVICES, INC.

BD
CRD#: 18461
NEW YORK, NY
Past

February 16, 1989 - December 9, 2009

MONARCH FINANCIAL CORPORATION OF AMERICA

BD
CRD#: 23437
NEW YORK, NY
Past

June 29, 1988 - November 26, 1988

ROMA FINANCIAL, LIMITED

BD
CRD#: 21792
Past

May 3, 1984 - November 26, 1988

APPLE FINANCIAL CORPORATION

BD
CRD#: 10375
Past

June 23, 1981 - January 20, 1984

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/3/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/20/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 53
Date: 10/27/2012
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/30/2000
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/13/1989
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/6/1987
Financial and Operations Principal Examination

Current Firm

WF
WORLD FIRST FINANCIAL SERVICES, INC.
MARQUETTE DE BARY CO., INC. | WORLD FIRST FINANCIAL SERVICES, INC. | WORLD FIRST FINANCIAL SERVICES INC | MARQUETTE DE BARY CO., INCORPORATED

CRD#: 1612 / SEC#: , 8-20392

BD
Terminated by SEC on 11/26/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 01/02/1976
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AUERBACH, BRUCE NEILINTERIM PRESIDENT873052
DESLONDE, JAMES CHARLESCFO/CCO732530

Disclosures

Regulatory Event2
Bond2

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

WORLD FIRST FINANCIAL SERVICES, INC.

CRD#: 1612

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