James L. Wilkerson
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 Leslie Wilkerson was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1983. James had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2005 - April 1, 2014
FFEC WEALTH PARTNERS LLC
April 19, 2005 - April 1, 2014
FFEC WEALTH PARTNERS LLC
July 11, 2001 - April 20, 2005
WELLS FARGO INVESTMENTS, LLC
March 30, 2001 - July 11, 2001
WELLS FARGO SECURITIES, LLC
May 10, 1994 - April 2, 2001
PIPER SANDLER & CO.
June 14, 1991 - May 11, 1994
PRUDENTIAL EQUITY GROUP, LLC
March 22, 1983 - June 24, 1991
KIDDER, PEABODY & CO. INCORPORATED
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
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
