James C. Klutch
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 Christopher Klutch, who also goes by Chris Klutch, Jim Klutch, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 9 firms and has passed the Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2007 - May 24, 2012
PRISOL SECURITIES, INC.
March 24, 2000 - June 6, 2002
ORBITEX FUNDS DISTRIBUTOR, INC.
November 24, 1999 - March 31, 2006
AMERIMUTUAL FUNDS DISTRIBUTOR, INC.
September 22, 1998 - December 1, 1999
FUNDS DISTRIBUTOR, LLC
October 18, 1994 - January 15, 1997
WILLAMETTE SECURITIES, INC.
June 24, 1987 - July 29, 1997
PROFUNDS DISTRIBUTORS, INC.
March 31, 1987 - July 2, 1987
HAMBRECHT & QUIST LLC
August 21, 1984 - March 25, 1987
LEHMAN BROTHERS INC.
April 6, 1982 - August 10, 1983
FEDERATED SECURITIES CORP.
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
Current Firm
PRISOL SECURITIES, INC.
CRD#: 115141 / SEC#: , 8-53463
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
