James I. Barrick
Professional summary
James Isaac Barrick III 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 1983. Prior to being barred, James had worked at 5 firms, which includes A. CH. SECURITIES INC., 1717 CAPITAL MANAGEMENT COMPANY, SUNAMERICA SECURITIES INC., AMERICAN EXPRESS FINANCIAL CORPORATION, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 1999 - April 19, 2002
A. CH. SECURITIES, INC.
February 8, 1993 - September 23, 1999
1717 CAPITAL MANAGEMENT COMPANY
March 23, 1992 - March 24, 1993
SUNAMERICA SECURITIES, INC.
January 27, 1983 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
January 27, 1983 - March 23, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
A. CH. SECURITIES, INC.
CRD#: 44630 / SEC#: , 8-50759
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 3 |
Red Flags
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