James P. Imes
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 Patrick Imes was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 5, Series 15, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2019 - July 26, 2019
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
June 18, 2019 - July 26, 2019
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
September 2, 2004 - July 25, 2017
LPL FINANCIAL LLC
May 11, 2004 - July 25, 2017
LPL FINANCIAL LLC
December 1, 1997 - May 5, 2004
CETERA WEALTH SERVICES, LLC
October 20, 1997 - November 17, 1997
PRUCO SECURITIES, LLC.
June 1, 1996 - November 13, 1996
NATCITY INVESTMENTS, INC.
August 31, 1995 - June 1, 1996
NATIONAL CITY INVESTMENTS CORPORATION
July 28, 1995 - November 18, 1996
INDEPENDENT FINANCIAL SECURITIES, INC.
June 19, 1991 - July 5, 1995
BANC ONE SECURITIES CORPORATION
March 5, 1986 - May 7, 1991
AMERIPRISE ADVISOR SERVICES, INC.
August 5, 1985 - October 16, 1985
THOMSON MCKINNON SECURITIES INC.
January 26, 1984 - June 6, 1985
MORGAN STANLEY DW INC.
February 25, 1982 - June 14, 1983
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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 5
Date: 2/7/1985
Interest Rate Options ExaminationSeries 15
Date: 1/22/1985
Foreign Currency Options ExaminationCurrent Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
Red Flags
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