James W. Borg
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 Whitman Borg, who also goes by Jim Borg, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1976. James had worked at 17 firms and has passed the Series 63, Series 7 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 1996 - December 19, 2005
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
December 12, 1989 - August 1, 1996
MUNICIPAL SECURITIES, INCORPORATED
September 11, 1989 - November 24, 1989
THE INVESTMENT CENTER, INC.
February 28, 1989 - August 14, 1989
BRYAN, WORLEY & CO., INC.
October 4, 1988 - February 11, 1989
FIRST NORTHERN SECURITIES, INC.
March 22, 1988 - September 23, 1988
SOUTHERN SECURITIES INVESTMENT BANKERS, INC.
February 27, 1987 - March 11, 1988
BELMONT ASSET MANAGEMENT, INC.
September 24, 1984 - January 27, 1987
BRENNER STEED, INC.
May 23, 1984 - September 7, 1984
SWINK & COMPANY, INC.
March 14, 1984 - May 17, 1984
PARK, RYAN, INC.
April 11, 1983 - December 1, 1983
PARK, RYAN OF TENNESSEE, INC.
May 12, 1982 - December 16, 1982
R. ROWLAND & CO., INCORPORATED
February 8, 1982 - October 15, 1983
BOLTON FINANCIAL SERVICES, LLC
December 15, 1980 - May 23, 1981
DONALD SHELDON & CO., INC.
April 10, 1979 - August 5, 1979
CARTY, HARDING & HEARN, INC.
January 11, 1978 - May 2, 1979
POWELL & ASSOCIATES, INC. INC.
January 6, 1977 - February 11, 1978
F. L. LAWRENCE & COMPANY, INC.
October 1, 1976 - January 31, 1977
F. D. BENTON & ASSOCIATES, 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 40
Date: 9/24/1976
Registered Principal ExaminationCurrent Firm
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
CRD#: 6950 / SEC#: 801-68820, 8-18971
Contact information
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOUTHSTATE BANK, NATIONAL ASSOCIATION | OWNER | |
| BONONNO, JOSEPH KEMP | CHIEF FINANCIAL OFFICER | 7437632 |
| CHERRY, JAMES CROWELL | CHIEF COMPLIANCE OFFICER | 2870353 |
| HODGES, STUART LEE | SVP, PRESIDENT | 7370566 |
| HOWARD, HEATHER DIANE | CORPORATE SECRETARY/COMPLIANCE OFFICER | 4349745 |
| TUCKER, KIMBERLY SHAY | OPERATIONS MANAGER - PRINCIPAL OPERATIONS OFFICER | 7370391 |
Disclosures
| Regulatory Event | 9 |
| 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.
