James N. Augustine
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 Neal Augustine SR, who also goes by James Neal Augustine, Jim Augustine Sr, was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1972. James had worked at 9 firms and has passed the Series 66, Series 63, Series 7, Series 1, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2004 - December 2, 2004
MORGAN KEEGAN & COMPANY, LLC
January 18, 2000 - December 2, 2004
MORGAN KEEGAN & COMPANY, LLC
April 26, 1995 - June 22, 1995
LOP CAPITAL MARKETS, INC.
October 24, 1994 - May 25, 1995
LEHWALD, OROSEY & PEPE INCORPORATED
March 4, 1994 - August 27, 1994
AMERICAN ALLIED SECURITIES INC.
March 3, 1986 - October 5, 1989
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
April 3, 1978 - August 14, 1978
BEVILL, BRESLER & SCHULMAN INCORPORATED
August 26, 1976 - April 18, 1978
MARCUS, STOWELL & BEYE, INC.
December 15, 1975 - May 23, 1976
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
May 11, 1972 - November 22, 1974
THE ROBINSON-HUMPHREY COMPANY, 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: 4/25/1972
Registered Representative ExaminationCurrent Firm
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
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.
