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James Leo Weaver

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Information

Firm:
Type: Dual Registration
Description

James Weaver is a financial professional at MML Investors Services, LLC, a broker-dealer with over 5,450 registered representatives nationwide. James has held an industry securities registration for 32 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Benefitscorp Equities, Inc. 17 years, 10 months Nov 1996 - Present
Mml Investors Services, Inc. 29 years, 9 months Jan 1985 - Present
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 08/05/1998
Direct Participation Programs Representative ExaminationSeries 22 03/08/1985
Uniform Securities Agent State Law ExaminationSeries 63 03/01/1985
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 04/30/1982

Answers and Guides

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Top Answers

James Leo Weaver has not answered any questions on Financial Q&A.

Top Guides

James Leo Weaver has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
09/07/2014
08/14/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Other: SOLICITORS FEES