James A. Mehall
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 Allen Mehall was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1979. James had worked at 10 firms and has passed the Series 63, Series 65, Series 6, Series 3, Series 7, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2004 - March 15, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - March 15, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 1, 2003 - October 20, 2004
QUICK & REILLY, INC.
April 1, 2003 - October 20, 2004
QUICK & REILLY, INC.
January 14, 2003 - April 8, 2003
CENTAURUS FINANCIAL, INC.
September 10, 1996 - May 17, 2002
WELLS FARGO CLEARING SERVICES, LLC
August 15, 1994 - September 5, 1996
PRUDENTIAL EQUITY GROUP, LLC
March 19, 1990 - August 10, 1994
UBS FINANCIAL SERVICES INC.
February 15, 1988 - April 3, 1990
LEHMAN BROTHERS INC.
August 29, 1984 - February 15, 1988
E. F. HUTTON & COMPANY INC
August 1, 1980 - May 3, 1984
ADVANTAGE CAPITAL CORPORATION
February 5, 1979 - September 17, 1984
THE VARIABLE ANNUITY MARKETING COMPANY
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: 1/29/1979
Registered Representative ExaminationSeries 8
Date: 10/23/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BANC OF AMERICA INVESTMENT SERVICES, INC.
CRD#: 16361 / SEC#: , 8-33805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERRILL LYNCH & CO., INC. | SHAREHOLDER | |
| BENSON, MARK JARRETT | PRESIDENT/CEO/DIRECTOR/CHAIRMAN | 1915552 |
| CALL, JOHN SCOTT | SVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE | 2815968 |
| NEWTH, RONALD JOSEPH | CHIEF OPERATING OFFICER/DIRECTOR | 1454390 |
| OSAKI, ISAAC | CHIEF LEGAL OFFICER | 4910551 |
| ROMANO, JOHN GARY | CFO/DIRECTOR | 5078610 |
Disclosures
| Regulatory Event | 53 |
| Civil Event | 1 |
| Arbitration | 68 |
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.
