James H. Wilson
Professional summary
James Henry Barclay Wilson, who also goes by H B Wilson, James Henry Wilson Jr, James Henry Barclay Wilson Jr, James Henrybarclay Wilson, Jim H B Wilson, Jim Wilson, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Denver, Colorado.
James is registered as a RR (Registered Representative) and started their career in finance in 1976. James has worked at 14 firms and has passed the Series 63, Series 52TO, SIE, PC, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Henry Barclay Wilson's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 5, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1445 Market St Ste 220, Denver, CO 80202September 3, 2013 - December 31, 2020
CETERA WEALTH SERVICES, LLC
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
December 10, 2001 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
July 8, 1992 - December 11, 2001
PENTAD SECURITIES, INC.
July 19, 1991 - July 2, 1992
DICKINSON & CO.
February 16, 1990 - July 23, 1991
JJC SECURITIES CO., INC.
October 17, 1988 - February 5, 1990
HANIFEN, IMHOFF SECURITIES CORP.
September 1, 1988 - February 5, 1990
HANIFEN, IMHOFF SECURITIES CORP.
July 22, 1987 - October 17, 1988
HANIFEN, IMHOFF INC.
January 31, 1980 - August 5, 1987
UBS FINANCIAL SERVICES INC.
January 5, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
September 26, 1978 - February 6, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 9, 1977 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
November 17, 1976 - October 10, 1977
SHEARSON HAYDEN STONE INC.
June 25, 1976 - November 17, 1976
SHEARSON HAYDEN STONE 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
(1/2/2024)
(1/5/2021)
(1/5/2021)
(1/5/2021)
(1/5/2021)
(1/28/2025)
(1/28/2025)
(1/5/2021)
(1/5/2021)
(1/5/2021)
(1/5/2021)
(1/2/2024)
(1/5/2021)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamFINRA
Current Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
