James K. Freese
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 King Freese, who also goes by James King Freese Sr, Jim Freese, 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 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2004 - November 8, 2005
KOVACK SECURITIES INC.
August 27, 1997 - December 19, 2003
SECURITIES SERVICE NETWORK, LLC
September 18, 1995 - October 13, 1997
ICAP/INVESTMENT SERVICES AND TRADING, LLC
November 28, 1990 - October 2, 1995
CROWN FINANCIAL ASSOCIATES, INC.
July 27, 1989 - December 11, 1990
LPL FINANCIAL LLC
May 29, 1986 - August 7, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
May 14, 1985 - December 4, 1986
T.L. HILL SECURITIES, INC.
December 7, 1982 - October 16, 1986
INVESTORS BROKERAGE 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
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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