James C. Draper
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 Christopher Draper, who also goes by James C Draper, Jamie Draper, Jim Draper, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 52 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2008 - June 5, 2009
REGAL SECURITIES, INC.
April 8, 2002 - October 24, 2025
STINSON SECURITIES, LLC
April 7, 1998 - March 26, 2002
SCHNEIDER SECURITIES, INC.
January 11, 1996 - April 21, 1998
H.J. MEYERS & CO., INC.
September 29, 1995 - January 31, 1996
PACIFIC GENESIS GROUP, INC.
October 31, 1989 - September 29, 1995
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
October 10, 1988 - April 14, 1989
WOLFE & HURST BOND BROKERS INC.
June 22, 1983 - May 30, 1985
KMS CORPORATE BROKERS, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
REGAL SECURITIES, INC.
CRD#: 7297 / SEC#: , 8-21765
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOKIOS, GEORGE | CHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER | 718774 |
| VILLAFLOR, ROBERT FUSTER | SHAREHOLDER | 2374555 |
| AKSOMITAITE, SKAISTE | VICE PRESIDENT AND FINOP | 4852873 |
| BOKIOS, EUGENIA THEADORA MS | SENIOR VICE PRESIDENT & GENERAL COUNSEL | 2392199 |
| BOKIOS, VICTORIA THEADORA | TREASURER/SECRETARY | 2421318 |
| ENGELBRECHT, JEREMY AARON | CHIEF COMPLIANCE OFFICER (INTERIM) | 3277607 |
| HERRIN, SHAWN EVERETT | PRESIDENT | 2311476 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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