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Detailed Report
JEFF VANCE JAMES
JEFF V JAMES
CRD#: 1006072
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 2834 S. SHERWOOD FOREST BLVD.
SUITE F3
BATON ROUGE, LA 70816
Registration History
1985199019952000200520102015202020252 FIRMS2025 - Present (<1 year)BTHE INVESTMENT CENTER, INC. (CRD# 17839)2003 - 2025 (21 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)2000 - 2003 (2 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)1993 - 2000 (7 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1981 - 1988 (6 years)IAIC ADVISORY SERVICES, INC. (CRD# 140190)2006 - 2025 (18 years)IATHE INVESTMENT CENTER, INC. (CRD# 17839)2003 - 2006 (3 years)
Disclosure(s)
View By:
9/25/1998
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 3/6/2025
B
Louisiana 3/6/2025
B
California 3/6/2025
IA
Louisiana 3/6/2025
B
Colorado 3/6/2025
B
New York 3/6/2025
B
Delaware 3/6/2025
B
North Carolina 3/6/2025
B
District of Columbia 3/6/2025
B
Texas 3/6/2025
B
Florida 5/7/2003
IA
Texas 3/6/2025
B
Hawaii 3/6/2025

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
2834 S. SHERWOOD FOREST BLVD. SUITE F3, BATON ROUGE, LA 70816
Registered with this firm since 3/6/2025
B
LPL FINANCIAL LLC (CRD#:6413)
2834 S. SHERWOOD FOREST BLVD. SUITE F3, BATON ROUGE, LA 70816
Registered with this firm since 3/6/2025
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/02/2006 - 03/06/2025 IC ADVISORY SERVICES, INC. (CRD#:140190) BEDMINSTER, NJ
B
 05/07/2003 - 03/06/2025 THE INVESTMENT CENTER, INC. (CRD#:17839) BATON ROUGE, LA
IA
 05/15/2003 - 06/02/2006 THE INVESTMENT CENTER, INC. (CRD#:17839) BATON ROUGE, LA
B
 10/16/2000 - 05/12/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 07/31/1993 - 10/19/2000 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 02/15/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 08/25/1981 - 02/15/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.