James W. Speight
Professional summary
James Walter Speight, who also goes by Jim Speight, is a registered financial professional currently at LAKE STREET CAPITAL MARKETS, LLC located in Minneapolis, Minnesota.
James is registered as a RR (Registered Representative) and started their career in finance in 1985. James has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Walter Speight's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 20, 2018 - Present
LAKE STREET CAPITAL MARKETS, LLC
Office #1: 121 South 8th Street Suite 1000, Minneapolis, MN 55402March 13, 1998 - October 2, 2017
PIPER SANDLER & CO.
April 6, 1990 - January 9, 1998
AMERIPRISE ADVISOR SERVICES, INC.
September 24, 1985 - November 13, 1989
THOMSON MCKINNON SECURITIES 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
(9/20/2018)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/16/1998
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
LAKE STREET CAPITAL MARKETS, LLC
CRD#: 164447 / SEC#: , 8-69101
Contact information
FINRA licenses (30 States and Territories)
Direct owners and executive officers
Red Flags
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