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James Andrew Roumell

Capital Analysts

Royal Oak, MI

Lincoln Investment

Royal Oak, MI

Brooklyn, MI

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Current Employers
Capital Analysts

601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2019-05-13
  • MI RA
    APPROVED
    Since 2019-05-13

Branch Locations

990 North Main Street, Royal Oak, MI 48067 • United States

Lincoln Investment

601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2017-06-15
  • MI RA
    APPROVED
    Since 2017-06-15

Branch Locations

990 North Main Street, Royal Oak, MI 48067 • United States

Brooklyn, MI • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Legend Equities Corporation Palm Beach Gardens FL 12/2008 01/2017
Lincoln Investment Royal Oak MI 01/2017 Present
  • 12/2008 → 01/2017
    Legend Equities Corporation
    Palm Beach Gardens, FL
  • 01/2017 → Present
    Lincoln Investment
    Royal Oak, MI
Previous Registrations
  • 2011-08-19 → 2019-10-04
    Legend Advisory, Llc
    Berkley, MI
    Palm Beach Gardens, FL
    Royal Oak, MI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-06-10
S63 Uniform Securities Agent State Law Examination 2009-03-04
  • S65 Uniform Investment Adviser Law Examination
    2011-06-10
  • S63 Uniform Securities Agent State Law Examination
    2009-03-04

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STATE FARM INVESTMENT MANAGEMENT CORP.
J.P. MORGAN SECURITIES LLC
CITIZENS SECURITIES, INC.
CETERA INVESTMENT ADVISERS LLC
LPL FINANCIAL LLC
PNC WEALTH MANAGEMENT LLC
EDWARD JONES

Other Investors

Karl Maurits Heusinkveld
Jackie Lynn Boesman
Adam G Partridge
ANITA ANN Murray
CLAYTON DEREK NISSAN
Jasmine Lamia Ross
Brian D'Ziurman
DAWN MARIE CHALTRAW-LEVY

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WESTLAND, MI
STATE FARM INVESTMENT MANAGEMENT CORP. · Westland, MI
STATE FARM INVESTMENT MANAGEMENT CORP. · WESTLAND, MI
STATE FARM INVESTMENT MANAGEMENT CORP. · Westland, MI
J.P. MORGAN SECURITIES LLC · WESTLAND, MI
J.P. MORGAN SECURITIES LLC · WAYNE, MI
J.P. MORGAN SECURITIES LLC · WESTLAND, MI
CITIZENS SECURITIES, INC. · CANTON, MI

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