James W. Bell
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 Wiley Bell, who also goes by Jim Bell, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1976. James had worked at 10 firms and has passed the Series 65, Series 63, Series 3, Series 15, Series 7, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2007 - February 19, 2019
WORTH FINANCIAL GROUP INC.
January 3, 2007 - February 10, 2010
WORTH FINANCIAL GROUP INC.
November 3, 1999 - December 31, 2006
MOMENTUM INDEPENDENT NETWORK INC.
November 3, 1999 - December 31, 2006
MOMENTUM INDEPENDENT NETWORK INC.
August 7, 1995 - November 23, 1999
MORGAN STANLEY DW INC.
December 19, 1991 - August 9, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 2, 1991 - December 21, 1991
DOMINION INVESTOR SERVICES, INC.
February 2, 1990 - December 31, 1990
T.L. REED SECURITIES, INC.
May 15, 1987 - December 20, 1989
BELL, CLOUD & THOMPSON SECURITIES, INC.
April 6, 1987 - May 28, 1987
MOMENTUM INDEPENDENT NETWORK INC.
December 3, 1982 - April 20, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
November 23, 1981 - December 20, 1982
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 26, 1978 - October 2, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 15
Date: 9/17/1986
Foreign Currency Options ExaminationSeries 8
Date: 6/11/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WORTH FINANCIAL GROUP INC.
CRD#: 13478 / SEC#: , 8-29827
Contact information
FINRA licenses (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 2,539,237 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 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.
