James StaplesCRD Number: 4488349
Current Firm: Edward Jones
James Staples (CRD# 4488349) is an Investment Advisor Representative working at Edward Jones in Youngsville, NC and has over 14 years of experience in the finance industry.
Signator Investors, Inc.
Oak City Consulting, LLC
Hornor, Townsend & Kent, Inc.
|Edward Jones||St Louis, MO||Dec 2001 - Current||14|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 2002|
|S66||NASAA Uniform Combined State Law Examination||Jun 2008|
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 Management140,424MILLIONS
Total Number of Accounts777,048ACCOUNTS
Average Account Value$180,715
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- 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