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STEPHEN IVOR JAMES
CRD#: 1609025
IA
Investment Adviser
B
Broker
COMMONWEALTH FINANCIAL NETWORKCRD#: 8032 1610 West Street
Suite 105
Annapolis, MD 21401
Registration History
199019952000200520102015202020252 FIRMS2017 - Present (7 years)IASEVERN FINANCIAL ADVISORS, LLC (CRD# 121625)2009 - Present (16 years)BCAMBRIDGE INVESTMENT RESEARCH,... (CRD# 39543)2009 - 2017 (8 years)BSAGEPOINT FINANCIAL, INC. (CRD# 133763)2005 - 2009 (3 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)1992 - 2005 (13 years)BANCHOR NATIONAL FINANCIAL SERV... (CRD# 5774)1990 - 1992 (1 year)BAMERICAN EXPRESS FINANCIAL ADV... (CRD# 6363)1987 - 1990 (3 years)IACAMBRIDGE INVESTMENT RESEARCH ... (CRD# 134139)2012 - 2017 (4 years)
License(s)

State Registrations

B
California 3/17/2017

B
Maryland 3/15/2017

B
Delaware 3/15/2017

B
New York 3/15/2017

B
District of Columbia 3/17/2017

B
North Carolina 3/20/2017

B
Florida 3/15/2017

B
Pennsylvania 3/17/2017

B
Georgia 12/3/2019

B
Texas 3/15/2017

IA
Maryland 1/27/2009

B
Virginia 3/17/2017

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
COMMONWEALTH FINANCIAL NETWORK (CRD#:8032)
1610 West Street Suite 105, Annapolis, MD 21401
Registered with this firm since 3/15/2017

IA
SEVERN FINANCIAL ADVISORS, LLC (CRD#:121625)
1610 WEST STREET SUITE 105, ANNAPOLIS, MD 21401
Registered with this firm since 1/27/2009

B
COMMONWEALTH FINANCIAL NETWORK (CRD#:8032)
1610 West Street Suite 105, Annapolis, MD 21401
Registered with this firm since 3/15/2017

Previous Registration(s)
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IA
05/14/2012 - 03/17/2017 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) ANNAPOLIS, MD
B
01/21/2009 - 03/17/2017 CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543) ANNAPOLIS, MD
B
10/31/2005 - 01/27/2009 SAGEPOINT FINANCIAL, INC. (CRD#:133763) ANNAPOLIS, MD
B
05/19/1992 - 10/31/2005 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
B
11/02/1990 - 05/19/1992 ANCHOR NATIONAL FINANCIAL SERVICES, INC. (CRD#:5774)
B
01/06/1987 - 11/09/1990 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
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B
Broker
IA
Investment Adviser
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.