James R. Faucett
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 Richard Faucett, who also goes by Jim Faucett, Jimmy Faucett, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2013 - August 14, 2019
SOUTHBRIDGE
August 13, 2004 - February 6, 2013
SOUTHBRIDGE
April 14, 2004 - October 16, 2018
TRIAD ADVISORS LLC
March 14, 2003 - April 20, 2004
ROSENBERG FINANCIAL GROUP, INC.
December 6, 1993 - April 13, 2004
OSAIC WEALTH, INC.
August 17, 1993 - December 2, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 17, 1993 - December 2, 1993
EQUITABLE ADVISORS, LLC
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 1
Date: 6/19/1978
Registered Representative ExaminationCurrent Firm
SOUTHBRIDGE
CRD#: 119040 / SEC#: 801-77550
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
