James S. Stanton

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CRD#: 831287

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 Sharpe Stanton, who also goes by James Sharpe Stanton Jr, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1977. James had worked at 5 firms and has passed the Series 63, Series 7, Series 3 and PC exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Sharpe Stanton Jr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 1, 1998 - April 3, 2008

FIRST GEORGETOWN SECURITIES, INC.

CRD#: 5871

ALEXANDRIA, VA

Past

March 8, 1989 - December 18, 1989

FIRST GEORGETOWN SECURITIES, INC.

CRD#: 5871

ALEXANDRIA, VA

Past

April 7, 1986 - August 10, 1988

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

Past

February 7, 1983 - April 24, 1986

GILFORD SECURITIES INCORPORATED

CRD#: 8076

Past

November 4, 1981 - February 4, 1983

MOSELEY SECURITIES CORPORATION

CRD#: 7908

Past

November 22, 1978 - August 17, 1981

JOHN MUIR & CO.

CRD#: 2837

Past

January 3, 1977 - November 27, 1978

FIRST GEORGETOWN SECURITIES, INC.

CRD#: 5871

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 3/26/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/4/1998

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 3/26/1991

National Commodity Futures Examination

General Industry/Product Exam

PC

Date: 5/9/1986

AMEX Put and Call Exam

Current Firm

FIRST GEORGETOWN SECURITIES, INC.

FIRST GEORGETOWN SECURITIES, INC | FIRST GEORGETOWN SECURITIES, INC.

CRD#: 5871 / SEC#: 801-68760, 8-18390

RIA

Registered Investment Advisory firm - SEC (6/27/2012 Terminated)

Virginia

Registered Investment Advisory firm - SEC (6/27/2012 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1700 Diagonal Rd. Suite 200, Alexandria, VA 22314

Mailing Address

1700 Diagonal Rd. # 200, Alexandria, VA 22314

Phone number

(703) 519-7700

Established

Delaware since 05/01/1975

Firm type

Corporation

Fiscal year end

July

Firm Size

Small

# of Employees

FINRA licenses (20 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
MANN, ROBERT TAYLOR	PRESIDENT	822903
HARRIS, CHARLES WILLIAM	CHIEF COMPLIANCE OFFICER	1005730

Regulatory assets under management

Total Number of Accounts	125
AUM (Assets Under Management)	$ 101,602,194

Disclosures

Regulatory Event	16
Arbitration	2

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.

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Firm Stability Insights

James S. Stanton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST GEORGETOWN SECURITIES, INC.

FIRST UNION CAPITAL MARKETS CORP.

GILFORD SECURITIES INCORPORATED

MOSELEY SECURITIES CORPORATION

JOHN MUIR & CO.

FIRST GEORGETOWN SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/26/1998

Series 7

Date: 3/4/1998

Series 3

Date: 3/26/1991

PC

Date: 5/9/1986

Current Firm

FIRST GEORGETOWN SECURITIES, INC.

Contact information

FINRA licenses (20 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

FIRST GEORGETOWN SECURITIES, INC.

TRUST BUT VERIFY

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