James E. Edwards

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CRD#: 75813

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 Earl Edwards, who also goes by Jim Edwards, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1967. James had worked at 13 firms and has passed the Series 63, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Edwards

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

April 18, 1997 - June 9, 1997

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

October 8, 1996 - April 2, 1997

FIRST SECURITIES USA, INC.

CRD#: 39986

IRVINE, CA

Past

February 21, 1996 - October 1, 1996

WINCHESTER INVESTMENT SECURITIES, INC.

CRD#: 28543

OVERLAND PARK, KS

Past

March 28, 1991 - February 20, 1996

TILDEN PARTNERS, INC.

CRD#: 7947

GREAT NECK, NY

Past

July 18, 1989 - May 31, 1990

CAROLINA FIRST SECURITIES GROUP, INC.

CRD#: 24017

Past

January 30, 1989 - July 3, 1989

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

September 21, 1988 - March 14, 1989

INTERCAROLINA FINANCIAL SERVICES, INC.

CRD#: 19475

GREENSBORO, NC

Past

March 15, 1988 - June 3, 1988

GOODSON SECURITIES INCORPORATED

CRD#: 10258

Past

September 18, 1984 - January 27, 1986

TILDEN PARTNERS, INC.

CRD#: 7947

Past

August 29, 1983 - August 23, 1984

INDEPENDENCE SECURITIES, INC.

CRD#: 7227

Past

July 12, 1983 - August 29, 1983

AMERICAN COMMERCIAL SECURITIES CORPORATION

CRD#: 10275

Past

September 7, 1978 - July 11, 1983

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Past

January 11, 1973 - September 17, 1976

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

Past

June 9, 1967 - January 27, 1973

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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

Series 63

Date: 11/4/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 6/8/1967

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/14/1984

General Securities Principal Examination

Current Firm

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC | NAPEX FINANCIAL CORPORATION | NAPEX FINANCIAL CORP. | GUNNALLEN WEALTH MANAGEMENT

CRD#: 17609 / SEC#: , 8-35508

Terminated by SEC on 06/11/2010

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Contact information

Main Address

Mailing Address

Phone number

Established

Florida since 01/15/1986

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
GUNNALLEN HOLDINGS, INC.	SHAREHOLDER
DANIELS, KEVIN CHRISTIAN	EVP OF TRADING, CHIEF COMPLIANCE OFFICER	2041956
KRAUS, FREDERICK OSCAR JR	PRESIDENT, CFO, FINOP	1393886

Disclosures

Regulatory Event	17
Arbitration	13

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.

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Advisor Monitoring

Firm Stability Insights

James E. Edwards

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST SECURITIES USA, INC.

WINCHESTER INVESTMENT SECURITIES, INC.

TILDEN PARTNERS, INC.

CAROLINA FIRST SECURITIES GROUP, INC.

EQUITY SERVICES, INC.

INTERCAROLINA FINANCIAL SERVICES, INC.

GOODSON SECURITIES INCORPORATED

TILDEN PARTNERS, INC.

INDEPENDENCE SECURITIES, INC.

AMERICAN COMMERCIAL SECURITIES CORPORATION

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/4/1988

Series 1

Date: 6/8/1967

Series 24

Date: 3/14/1984

Current Firm

GUNNALLEN FINANCIAL, INC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GUNNALLEN FINANCIAL, INC

TRUST BUT VERIFY

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