James R. Messing
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 Richard Messing, who also goes by James R Messing, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1975. James had worked at 17 firms and has passed the Series 63, SIE, Series 7 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
February 11, 2016 - July 21, 2016
ACADEMY SECURITIES, INC.
October 29, 2007 - February 21, 2014
KEYBANC CAPITAL MARKETS INC.
July 29, 2005 - October 13, 2006
CANTOR FITZGERALD SECURITIES
July 12, 2004 - October 22, 2007
CANTOR FITZGERALD & CO.
March 15, 2004 - June 21, 2004
IMPERIAL CAPITAL, LLC
April 4, 2003 - April 8, 2004
ADVEST, INC.
January 2, 2003 - February 10, 2003
RED-HORSE SECURITIES, LLC
August 2, 2002 - December 31, 2002
RED-HORSE SECURITIES, LLC
September 26, 2001 - August 5, 2002
REDWOOD BROKERAGE LLC
July 2, 2001 - September 25, 2001
NATIVE NATIONS SECURITIES, INC.
October 4, 2000 - April 18, 2001
JOSEPH STEVENS & CO., INC.
October 6, 1998 - January 28, 1999
ORMES CAPITAL MARKETS, INC.
October 21, 1996 - July 16, 1998
SAGE SECURITIES CORP.
May 1, 1995 - September 19, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
March 18, 1993 - May 3, 1995
R.W.PRESSPRICH & CO.
June 6, 1991 - January 20, 1993
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
December 27, 1977 - December 12, 1990
CREDIT SUISSE SECURITIES (USA) LLC
October 1, 1975 - November 10, 1977
SALOMON BROTHERS INC.
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
ACADEMY SECURITIES, INC.
CRD#: 17433 / SEC#: , 8-35173
Contact information
FINRA licenses (38 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MIMS, RONALD CHANCE | CHAIRMAN, CEO | 5637540 |
| GRAHAM, ANTHONY R | FINOP | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL OPERATIONS OFFICER | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL FINANCIAL OFFICER | 4959159 |
| GRAHAM, ANTHONY R | COO | 4959159 |
| MCCONKEY, PHILIP JOSEPH | VICE CHAIRMAN | 3253139 |
| WILCOX, SPENCER HAMILTON | PRESIDENT | 5802885 |
| BOYD, MICHAEL BARTOW | CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER | 2557814 |
Disclosures
| Regulatory Event | 1 |
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.
