James E. Palmer
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 Edward Palmer was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 4 firms and has passed the Series 63, Series 3, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 1987 - June 3, 1987
F.D. ROBERTS SECURITIES, INC.
October 23, 1985 - April 28, 1986
WACHOVIA SECURITIES, INC.
December 10, 1984 - April 29, 1985
CONDOMINIUM HOTELS INTERNATIONAL, INC.
May 23, 1983 - April 25, 1984
PFS INVESTMENTS 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
F.D. ROBERTS SECURITIES, INC.
CRD#: 693 / SEC#: , 8-31195
Contact information
Documents
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.
