Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Goolsby has been in the financial services industry since 1985. James is currently registered with Sowell Management, an investment advisor, as an Investment Advisor Representative. Previously, James was registered with SunTrust Investment Services, Inc., Morgan Stanley, and Morgan Keegan & Company, Inc. James holds Series 7, 9, 10, 63, 65, 79, and SIE securities licenses. James has been with Sowell Management since November 2020 and is based in North Little Rock, Arkansas. James specializes in providing financial planning and portfolio management services to individuals, corporations, and pension plans.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
AR
11/17/2020 - Present
Sowell Management (NORTH LITTLE ROCK AR)
GA
01/12/2018 - 11/18/2020
SUNTRUST INVESTMENT SERVICES, INC. (MADISON GA)
GA
10/28/2011 - 01/17/2018
MORGAN STANLEY (ATLANTA GA)
GA
11/20/2009 - 10/31/2011
MORGAN KEEGAN & COMPANY, INC. (ATLANTA GA)
GA
10/07/2005 - 12/14/2009
SCOTT & STRINGFELLOW, LLC (ATLANTA GA)
PA
03/13/2001 - 11/04/2005
JANNEY MONTGOMERY SCOTT LLC (PHILADELPHIA PA)
AL
09/24/1998 - 04/09/2001
STERNE, AGEE & LEACH, INC. (BIRMINGHAM AL)
NY
10/22/1996 - 09/18/1998
JOSEPHTHAL & CO., INC. (NEW YORK NY)
NC
01/27/1995 - 10/15/1996
INTERSTATE/JOHNSON LANE CORPORATION (CHARLOTTE NC)
NY
07/31/1993 - 01/27/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
06/24/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
03/26/1992 - 07/06/1993
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
10/24/1990 - 04/09/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
NC
04/30/1990 - 11/07/1990
WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)
MO
02/03/1989 - 05/04/1990
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NA
12/17/1987 - 03/01/1989
PAINEWEBBER INCORPORATED
NA
02/09/1987 - 01/01/1988
PRUDENTIAL-BACHE SECURITIES INC.
NA
06/05/1985 - 02/27/1987
PAINEWEBBER INCORPORATED
NA
02/21/1985 - 06/14/1985
WADDELL & REED, INC.
IA
Issued 09/08/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/07/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/05/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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