Articles Tagged with James Davis

James DavisPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that California-based Centaurus Financial broker/adviser James Davis has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Davis (CRD# 1530880).

James Davis has spent 31 years in the securities industry and has been registered with Centaurus Financial in San Francisco, California since 2006. Previous registrations include Securities America in San Francisco, California (1990-2006); Royal Alliance Associates in Jersey City, New Jersey (1989-1990); Integrated Resources Equity Corporation (1987-1989); Financial Planners Equity Corporation (1986-1987); and Cypress Capital Corporation (1986). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 23, 1987; Series 7 (General Securities Representative Examination), which he obtained on July 19, 1986; and Series 24 (General Securities Principal Examination), which he obtained on April 16, 1987. He is a registered broker and investment adviser with two US states: California and New York.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint, and he has been named in an investigation by state regulatory authorities.