James W. Fuller
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James William Fuller was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 9 firms and has passed the Series 63 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2001 - July 22, 2002
CAPITAL SUISSE SECURITIES, INC.
June 12, 1998 - February 2, 2009
NORTH COAST SECURITIES CORPORATION
January 23, 1996 - June 18, 1998
MORGAN FULLER CAPITAL GROUP, LLC
August 22, 1995 - November 14, 1995
L. H. ALTON & COMPANY
December 16, 1988 - May 9, 1995
BRIDGE TRADING COMPANY
April 18, 1986 - July 14, 1986
LION PROGRAMS, INC.
April 10, 1986 - January 21, 1988
MIDAS SECURITIES GROUP, INC.
January 22, 1986 - January 21, 1988
BULL & BEAR SECURITIES, INC.
June 22, 1981 - January 16, 1984
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 4/20/2000
Limited Representative-Equity Trader ExamCurrent Firm
CAPITAL SUISSE SECURITIES, INC.
CRD#: 37531 / SEC#: , 8-48015
Contact information
Documents
Disclosures
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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