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Detailed Report
JAMES BENJAMIN FARRIS
JAMES B FARRIS
CRD#: 5174495
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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
20062007200820092010201120122013201420152016201720182019IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2012 - 2017 (4 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2008 - 2012 (3 years)IAMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2008 (1 year)IAMORGAN STANLEY (CRD# 7556)2006 - 2007 (<1 year)
Disclosure(s)
View By:
2/2/2018
Regulatory
Final
3/8/2015
Customer Dispute
Denied
7/6/2009
Customer Dispute
Award / Judgment
3/27/2008
Customer Dispute
Settled
Previous Registration(s)
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 07/27/2012 - 01/23/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN FRANCISCO, CA
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 09/12/2008 - 08/02/2012 UBS FINANCIAL SERVICES INC. (CRD#:8174) FRESNO, CA
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 04/02/2007 - 09/22/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) FRESNO, CA
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 09/12/2006 - 04/02/2007 MORGAN STANLEY (CRD#:7556) FRESNO, CA
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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.