James P. Curtis
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 Peter Curtis, who also goes by Jim Curtis, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 24 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, Series 79TO, Series 72, SIE, Series 7, Series 5, Series 14, Series 27, Series 53, Series 4, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2022 - March 8, 2023
WEALTH SPACE ASSET MANAGEMENT
May 5, 2022 - May 14, 2024
JVM SECURITIES, LLC
October 22, 2021 - January 3, 2024
CAPE SECURITIES INC.
September 23, 2021 - January 3, 2024
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
August 2, 2019 - March 2, 2020
PEACHTREE PC INVESTORS, LLC
February 2, 2015 - January 16, 2019
PREFERRED CAPITAL SECURITIES, LLC
August 29, 2013 - July 11, 2019
PRIVATE BROKERS, LLC
April 23, 2013 - April 21, 2015
MDS SECURITIES, LLC
December 16, 2009 - February 1, 2013
INDEPENDENCE REALTY SECURITIES, LLC.
November 20, 2002 - February 27, 2009
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 8, 2002 - February 27, 2009
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 20, 1999 - December 31, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 24, 1998 - September 28, 1999
MML INVESTORS SERVICES, LLC
November 13, 1997 - September 3, 1998
PRUDENTIAL EQUITY GROUP, LLC
April 25, 1997 - October 10, 1997
AURA FINANCIAL SERVICES, INC.
August 13, 1996 - February 21, 1997
AFS EQUITIES, INC.
July 20, 1995 - October 6, 1995
UNION PLANTERS BROKERAGE SERVICES INC.
July 9, 1995 - July 24, 1996
INTL CUSTODY & CLEARING SOLUTIONS INC.
April 22, 1994 - July 24, 1996
STERNE, AGEE & LEACH, INC.
October 2, 1993 - November 11, 1993
AMSOUTH INVESTMENT SERVICES, INC.
December 6, 1991 - September 8, 1993
ALLY SECURITIES LLC
July 5, 1991 - October 4, 1991
DEPOSIT GUARANTY INVESTMENTS, INC.
July 7, 1989 - October 24, 1990
FIRSTIER SECURITIES, INC.
February 14, 1985 - May 23, 1989
FBS BROKERAGE SERVICES, INC.
January 22, 1982 - November 9, 1984
DAIN RAUSCHER INCORPORATED
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 5
Date: 10/26/1981
Interest Rate Options ExaminationSeries 12
Date: 3/24/1982
NYSE Branch Manager ExaminationCurrent Firm
WEALTH SPACE ASSET MANAGEMENT
CRD#: 127507 / SEC#: , 8-66008
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN GLOBAL WEALTH SERVICES INC | SHAREHOLDER | |
| CIANTRO, PHILIP | CEO/CCO/FINOP | 2350685 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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