James H. Ross
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 Harrell Ross was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1975. James had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 22, Series 24, Series 8 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2015 - April 29, 2015
FIRST SOUTHWEST COMPANY, LLC
January 30, 2007 - April 29, 2015
MOMENTUM INDEPENDENT NETWORK INC.
January 14, 2005 - April 29, 2015
HILLTOP SECURITIES INC.
September 7, 2004 - April 29, 2015
MOMENTUM INDEPENDENT NETWORK INC.
January 14, 2004 - April 29, 2015
HILLTOP SECURITIES INC.
August 4, 1998 - January 13, 2004
UBS FINANCIAL SERVICES INC.
August 29, 1997 - January 13, 2004
UBS FINANCIAL SERVICES INC.
June 6, 1996 - April 2, 1997
UBS ASSET MANAGEMENT (US) INC.
September 19, 1995 - March 6, 1996
VOYA INVESTMENTS DISTRIBUTOR, LLC
October 13, 1992 - September 14, 1995
UBS FINANCIAL SERVICES INC.
February 9, 1988 - May 7, 1991
GEODYNE SECURITIES, INC.
December 15, 1987 - January 22, 1988
SOURCE SECURITIES, INC.
April 23, 1984 - April 22, 1985
SAMSON SECURITIES COMPANY
March 30, 1983 - May 15, 1984
VISCOUNT SECURITIES CORPORATION
August 5, 1980 - March 9, 1983
DAHL SECURITIES CORPORATION
January 11, 1978 - June 27, 1978
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
August 2, 1977 - January 12, 1978
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
April 23, 1976 - August 22, 1977
E. F. HUTTON & COMPANY INC
November 24, 1975 - May 9, 1976
STIFEL, NICOLAUS & COMPANY, INCORPORATED
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 8
Date: 10/13/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIRST SOUTHWEST COMPANY, LLC
CRD#: 316 / SEC#: , 8-1523
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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.
