James T. Walesa
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 Thaddeus Walesa was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 22, Series 6, Series 24 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
September 4, 2019 - December 17, 2021
ARKADIOS CAPITAL
November 6, 2000 - September 5, 2019
TRIAD ADVISORS LLC
June 26, 1997 - November 6, 2000
LONDON PACIFIC SECURITIES, INC.
January 31, 1997 - June 25, 1997
OSAIC WEALTH, INC.
April 9, 1992 - January 31, 1997
KEOGLER, MORGAN & COMPANY, INC.
September 15, 1989 - May 5, 1992
DERAND/PENNINGTON/BASS, INC.
May 11, 1988 - May 24, 1990
MESA SECURITIES CORPORATION
August 20, 1982 - May 13, 1988
FORESTERS FINANCIAL SERVICES, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ARKADIOS CAPITAL
CRD#: 282710 / SEC#: , 8-69729
Contact information
FINRA licenses (53 States and Territories)
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.
