James T. Laing
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 Thomson Laing, who also goes by Jay Laing, 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 65, Series 63, Series 62 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
May 15, 2009 - December 14, 2009
QUESTAR CAPITAL CORPORATION
October 16, 2006 - May 1, 2009
SOUTHEAST INVESTMENTS, N.C., INC.
June 2, 2006 - November 1, 2006
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
January 12, 2006 - November 1, 2006
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
July 10, 2003 - December 10, 2004
NEW ENGLAND SECURITIES
February 22, 2001 - February 6, 2003
HIGH MARK SECURITIES, INC.
April 17, 2000 - February 13, 2001
SIGMA FINANCIAL CORPORATION
November 25, 1997 - April 11, 2000
AMERICAN GENERAL SECURITIES INCORPORATED
March 14, 1997 - April 17, 1997
MUTUAL SERVICE CORPORATION
June 21, 1993 - December 31, 1996
AMERICAN GENERAL SECURITIES INCORPORATED
February 6, 1992 - May 12, 1993
FORTH FINANCIAL SECURITIES, CORPORATION
April 16, 1980 - December 31, 1991
NEW ENGLAND SECURITIES
August 14, 1979 - November 27, 1979
NYLIFE SECURITIES 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 62
Date: 7/29/2006
Corporate Securities Limited Representative ExaminationSeries 1
Date: 8/10/1979
Registered Representative ExaminationCurrent Firm
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
