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Jarrod A James
JARROD ANDREW JAMES
CRD#: 6163118
IA
B
MORGAN STANLEYCRD#: 149777 4225 Naperville Road
Suite 255
Lisle, IL 60532
Suite 255
Lisle, IL 60532
0
Disclosures
10
Years of Experience
View By:
State Registrations
B
Alabama 12/6/2023
B
Michigan 10/15/2021
B
Arizona 10/15/2021
B
Minnesota 10/15/2021
B
California 10/15/2021
B
Missouri 10/15/2021
B
Colorado 10/15/2021
B
New Jersey 10/15/2021
B
Delaware 5/30/2024
B
New Mexico 10/15/2021
B
Florida 10/15/2021
B
New York 10/15/2021
B
Georgia 10/15/2021
B
North Carolina 10/15/2021
B
Hawaii 12/6/2023
B
South Carolina 10/15/2021
B
Illinois 10/14/2021
B
South Dakota 10/15/2021
IA
Illinois 10/14/2021
B
Tennessee 10/15/2021
B
Indiana 10/15/2021
B
Texas 10/15/2021
B
Kansas 10/15/2021
IA
Texas 10/15/2021
B
Kentucky 12/9/2021
B
Utah 10/15/2021
B
Louisiana 9/7/2022
B
Virginia 10/15/2021
B
Maryland 10/15/2021
B
Washington 12/9/2021
B
Massachusetts 10/19/2021
B
Wisconsin 10/15/2021
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 10/14/2021
B
Registered with this firm since 10/14/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/19/2014 - 03/19/2021 | FOX LAKE, IL | |
B | 08/19/2014 - 03/19/2021 | FOX LAKE, IL | |
IA | 08/16/2013 - 11/19/2013 | SCHAUMBURG, IL | |
B | 06/18/2013 - 11/19/2013 | SCHAUMBURG, IL |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.