James StinesCRD Number: 1175075
Current Firm: Bb&t Securities, LLC
James Stines (CRD# 1175075) is an Investment Advisor Representative working at Bb&t Securities, LLC in Charlotte, NC and has over 34 years of experience in the finance industry.
Prospera Financial Services, Inc.
Dalton Financial LLC
M Holdings Securities, Inc.
|Bb&t Securities, LLC||Charlotte, NC||Jan 2013 - Current||5|
|Scott & Stringfellow, Inc.||Charlotte, NC||Aug 2002 - Current||15|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 1983|
|S65||NASAA Investment Advisors Law Examination||Feb 1999|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management18,055MILLIONS
Total Number of Accounts42,521ACCOUNTS
Average Account Value$424,604
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY