James R. Dahl
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 Ronald Dahl, who also goes by Jim Dahl, 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 65, Series 63, Series 7 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
April 1, 2003 - July 25, 2016
OTTER CREEK PARTNERS
April 1, 2003 - December 31, 2003
PACIFIC WEST SECURITIES, INC.
February 1, 2002 - April 1, 2003
THE PLANNERS NETWORK, INC.
January 4, 2002 - March 31, 2003
NATIONAL PLANNING CORPORATION
July 21, 1983 - December 31, 2001
PACIFIC WEST 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
OTTER CREEK PARTNERS
CRD#: 125591 / SEC#:
Contact information
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.
