James W. Kerr
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 Wilbert Kerr was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 4 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 1988 - August 16, 1988
CARTWRIGHT & GOODWIN, INC.
February 20, 1987 - February 18, 1988
AMFCO SECURITIES, INC.
July 28, 1986 - February 2, 1987
MURIEL SIEBERT & CO., LLC
August 9, 1985 - February 26, 1986
UNITED DANIELS 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
Exams
Current Firm
CARTWRIGHT & GOODWIN, INC.
CRD#: 19846 / SEC#: , 8-35743
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.
