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JM

James E. Metzloff

Some features on this profile are disabled
CRD#: 831844
JM

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 Edward Metzloff JR, who also goes by Jim Metzloff, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1977. James had worked at 12 firms and has passed the Series 66, Series 63, Series 7 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Metzloff

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

August 28, 2009 - May 18, 2010

CEROS FINANCIAL SERVICES, INC.

BD
CRD#: 37869
SUWANNE, GA
Past

July 3, 2003 - July 8, 2019

CAPITAL RESEARCH ADVISORS, LLC

RIA
CRD#: 125621
SUGAR HILL, GA
Past

May 16, 2003 - August 31, 2009

GUGGENHEIM DISTRIBUTORS, LLC

BD
CRD#: 40805
BUFORD, GA
Past

June 1, 2000 - April 29, 2003

TRIAD ADVISORS LLC

BD
CRD#: 25803
ATLANTA, GA
Past

September 10, 1997 - June 14, 2000

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

March 13, 1997 - July 31, 1997

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

October 11, 1996 - February 28, 1997

DEMPSEY FINANCIAL NETWORK, INC.

BD
CRD#: 38330
ATLANTA, GA
Past

August 28, 1996 - October 22, 1996

WESTPORT FINANCIAL SERVICES, L.L.C.

BD
CRD#: 38449
JACKSONVILLE, FL
Past

July 28, 1994 - August 8, 1996

FORTH FINANCIAL SECURITIES, CORPORATION

BD
CRD#: 14363
RICHMOND, VA
Past

February 2, 1989 - May 10, 1994

ALEXANDER & ALEXANDER SECURITIES CORP.

BD
CRD#: 7907
HOUSTON, TX
Past

April 29, 1985 - December 13, 1988

CONSECO FINANCIAL SERVICES, INC.

BD
CRD#: 629
Past

January 3, 1977 - December 11, 1984

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145

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
RR
IAR
Series 66
Date: 8/14/2000
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/28/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/4/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 12/22/1976
Registered Representative Examination

Current Firm

CF
CEROS FINANCIAL SERVICES, INC.
ASSET MANAGEMENT SERVICES | FORTE CAPITAL GROUP | CEROS FINANCIAL SERVICES, INC. | CEROS FINANCIAL ADVISORS | CEROS CAPITAL MARKETS | CEROS BROKER SERVICE, INC. | ATLANTIC PARTNERS

CRD#: 37869 / SEC#: , 8-47955

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

Main Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Mailing Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Phone number
(866) 842-3356
Established
Massachusetts since 09/30/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DGB HOLDINGS, LLCOWNER
AYERS-RIGSBY, MARY CATHERINEPRESIDENT830349
GOLDWASSER, MARK HARRYCEO1334008
GREENE, JON CHRISTOPHERROSFP3202524
HOLLAND, ANGELA LYNNETTECHIEF COMPLIANCE OFFICER3166586
POWELL, KIM ULMANCHIEF FINANCIAL OFFICER6244231
WILSON, DANIELAMLCO6763074

Disclosures

Regulatory Event4

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.

Company Information

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

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