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JW

James T. Walesa

Some features on this profile are disabled
CRD#: 1061209
JW

Professional summary

James Thaddeus Walesa was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, James had worked at 8 firms, which includes ARKADIOS CAPITAL, TRIAD ADVISORS LLC, LONDON PACIFIC SECURITIES INC., OSAIC WEALTH INC., KEOGLER MORGAN & COMPANY INC., DERAND/PENNINGTON/BASS INC., MESA SECURITIES CORPORATION, FORESTERS FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 4, 2019 - December 17, 2021

ARKADIOS CAPITAL

BD
CRD#: 282710
Park Ridge, IL
Past

November 6, 2000 - September 5, 2019

TRIAD ADVISORS LLC

BD
CRD#: 25803
PARK RIDGE, IL
Past

June 26, 1997 - November 6, 2000

LONDON PACIFIC SECURITIES, INC.

BD
CRD#: 25089
SACRAMENTO, CA
Past

January 31, 1997 - June 25, 1997

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

April 9, 1992 - January 31, 1997

KEOGLER, MORGAN & COMPANY, INC.

BD
CRD#: 16546
ATLANTA, GA
Past

September 15, 1989 - May 5, 1992

DERAND/PENNINGTON/BASS, INC.

BD
CRD#: 4679
Past

May 11, 1988 - May 24, 1990

MESA SECURITIES CORPORATION

BD
CRD#: 15206
Past

August 20, 1982 - May 13, 1988

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/17/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/7/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/20/1990
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 8/3/1988
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/19/1982
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/15/1992
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 10/26/1983
Investment Company Products/Variable Contracts Principal Examination

Current Firm

AC
ARKADIOS CAPITAL
ARKADIOS CAPITAL | MSY SECURITIES, LLC | ARKADIOS CAPITAL, LLC

CRD#: 282710 / SEC#: , 8-69729

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305
Mailing Address
2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305
Phone number
(404) 445-0035
Established
Georgia since 11/23/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARKADIOS HOLDINGS, INC.OWNER
HARRISON, JOHN DORWARDEXECUTIVE DIRECTOR2361768
MCCOMB, MAX MICHAELEXECUTIVE DIRECTOR1347500
MILLER, NATALIE LANEFINOP, POO, PFO5627988
MILLICAN, DAVID YANCEY IVCEO2788060
SCHWARTZ, GARY STEVENCHIEF COMPLIANCE OFFICER2691699

Disclosures

Regulatory Event1

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.

Company Information

ARKADIOS CAPITAL

CRD#: 282710

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