James Curtis Rees

Current Employers

Employment History

• 07/2007 → 10/2018
  Lpl Financial, Llc
  Tyler, TX
• 10/2018 → Present
  Cwm, Llc
  Omaha, NE
• 10/2018 → 12/2025
  Cetera Wealth Services, Llc
  El Segundo, CA
• 07/2007 → Present
  Stoneway Financial Llc
  Tyler, TX

Previous Registrations

• 2019-03-22 → 2019-10-14
  Cetera Wealth Services, Llc
  Tyler, TX
  Addison, TX
  El Segundo, CA
• 2007-07-12 → 2018-10-17
  Lpl Financial Llc
  Addison, TX
  Plano, TX
  Fort Mill, SC
  Tyler, TX
• 1994-01-28 → 2007-07-18
  Ameriprise Financial Services, Llc
  Tyler, TX

Other Businesses

(1) NAME OF OTHER BUSINESS: CWM, LLC DBA CARSON GROUP PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING, AND ADDITIONAL ADVISORY SERVICES. POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 10/2018 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISORY REPRESENTATIVE (2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG-TERM CARE (3) NAME OF OTHER BUSINESS: STONEWAY FINANCIAL, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 07/2007 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: DBA NAME FOR SECURITIES SERVICES (4) NAME OF OTHER BUSINESS: THE MAGDALENE HOME INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: NON-PROFIT ORGANIZATION START DATE: 10/2013 POSITION/TITLE/RELATIONSHIP: TREASURER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 BRIEF DESCRIPTION OF DUTIES: OVERSEE THE CASH FLOW AND PROVIDE FINANCIAL MANAGEMENT ADVICE (5) NAME OF OTHER BUSINESS: NO HUNGRY CHILDREN INVESTMENT RELATED: NO ADDRESS: P.O. BOX 287, ACWORTH, GA 30101 NATURE OF BUSINESS: NON PROFIT START DATE: 10/2019 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX NUMBER OF HOURS PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: GENERAL BOARD DUTIES

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-11-22
• S63 Uniform Securities Agent State Law Examination
  1994-01-17

Other Names

• Jim Rees