James R. Loos
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 Robert Loos, who also goes by Jim Bob Loos, was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1977. James had worked at 6 firms and has passed the Series 63, Series 15 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2007 - February 7, 2008
STOCKCROSS FINANCIAL SERVICES, INC.
December 10, 2002 - November 3, 2005
FISERV INVESTOR SERVICES, INC.
December 10, 2002 - January 1, 2007
TRADESTAR INVESTMENTS,INC.
June 1, 1984 - November 20, 2002
MORGAN STANLEY DW INC.
May 10, 1984 - November 20, 2002
MORGAN STANLEY DW INC.
April 16, 1979 - May 24, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 24, 1978 - April 15, 1979
MORGAN STANLEY DW INC.
July 1, 1977 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
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: 11/20/1986
Foreign Currency Options ExaminationCurrent Firm
STOCKCROSS FINANCIAL SERVICES, INC.
CRD#: 6670 / SEC#: 801-69705, 8-17758
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GEBBIA, JOHN MICHAEL | DIRECTOR, EVP | 1866455 |
| GEBBIA, RICHARD SAL | CEO, PRESIDENT, DIRECTOR | 2348552 |
| MURIEL SIEBERT & CO., INC. | OWNER | 5376 |
| COLOMBINO, MICHAEL JONATHAN | CFO; TREASURER | 4871852 |
| DIPIPPO, ALBERT FRANCIS | ROSFP | 726636 |
| LOGUE, DANIEL PATRICK | CHIEF COMPLIANCE OFFICER; AMLCO | 1501135 |
| SCHEBECE, GREGORY CHARLES | EXECUTIVE VICE PRESIDENT, COO | 1498632 |
| SHANKMAN, CRAIG MICHAEL | DIRECTOR OF TECHNOLOGY | |
| TASSELL, MATTHEW ERIC | DIRECTOR OF CORPORATE SERVICES | |
| ZABATTA, CHARLES ANTHONY SR | OWNER |
Disclosures
| Regulatory Event | 20 |
| 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.
