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JAMES ALAN SEIJAS
JAMES A SEIJAS
CRD#: 2392901
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2010201220142016201820202022202420262 FIRMS2013 - 2013 (<1 year)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2013 - 2019 (5 years)IASTRATEGIC ADVISERS, INC. (CRD# 104555)2010 - 2013 (3 years)
Disclosure(s)
View By:
1/29/2025
Customer Dispute
Pending
1/28/2025
Customer Dispute
Pending
1/23/2025
Customer Dispute
Pending
1/23/2025
Customer Dispute
Pending
9/9/2024
Customer Dispute
Pending
9/9/2024
Customer Dispute
Pending
9/15/2023
Customer Dispute
Pending
4/22/2022
Customer Dispute
Pending
11/2/2021
Regulatory
Final
5/19/2020
Customer Dispute
Settled
3/18/2020
Customer Dispute
Pending
Previous Registration(s)
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11/13/2013 - 03/06/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SHORT HILLS, NJ
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10/01/2013 - 11/20/2013 AMERIVEST INVESTMENT MANAGEMENT, LLC (CRD#:111514) MORRISTOWN, NJ
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09/27/2013 - 11/20/2013 TD AMERITRADE, INC. (CRD#:7870) MORRISTOWN, NJ
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08/09/2010 - 09/17/2013 STRATEGIC ADVISERS, INC. (CRD#:104555) WAYNE, NJ
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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.
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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.