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James Arthur Rumph II
JAMES ARTHUR RUMPH II, JAMES RUMPH, James Arthur Rumph, James Rumph II
CRD#: 6241974
IA
B
EDWARD JONESCRD#: 250 Marina Del Rey, CA
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12/8/2022
Financial
Final
State Registrations
IA
California 3/20/2023
B
California 3/23/2023
SRO Registrations
B
B
B
B
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B
IA
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/13/2018 - 05/04/2021 | EL SEGUNDO, CA | |
B | 06/13/2018 - 05/04/2021 | EL SEGUNDO, CA | |
IA | 02/13/2017 - 06/01/2018 | Santa Monica, CA | |
IA | 02/13/2017 - 06/01/2018 | SANTA MONICA, CA | |
B | 01/10/2017 - 06/01/2018 | SANTA MONICA, CA | |
B | 04/23/2015 - 10/14/2016 | SANTA MONICA, CA | |
B | 11/04/2013 - 03/30/2015 | HOOVER, AL |
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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.