James H. Friday
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 Henry Friday was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 5 firms and has passed the Series 65, Series 63, 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
May 11, 2011 - November 26, 2012
HERMENING ADVISORY SERVICES LLC
May 17, 2010 - February 12, 2013
FIRST ALLIED ADVISORY SERVICES, INC.
May 17, 2010 - December 13, 2013
FIRST ALLIED SECURITIES, INC.
October 1, 1999 - May 21, 2010
EQUITABLE ADVISORS, LLC
October 5, 1982 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 5, 1982 - May 21, 2010
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
HERMENING ADVISORY SERVICES LLC
CRD#: 134927 / SEC#: 801-67716
Contact information
Red Flags
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