James L. Brannen
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 Legrand Brannen, who also goes by James L Brannen, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 7 firms and has passed the Series 63, Series 2 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2003 - July 27, 2012
E. S. HOPE FINANCIAL
October 1, 1997 - December 31, 2001
AMERICAN GENERAL SECURITIES INCORPORATED
December 4, 1991 - October 1, 1997
USLIFE EQUITY SALES CORP.
January 25, 1991 - September 4, 1991
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
October 2, 1985 - December 21, 1990
SECURITIES AMERICA, INC.
January 1, 1985 - September 25, 1985
SENTRA SECURITIES CORPORATION
June 19, 1983 - December 13, 1988
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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 2
Date: 10/2/1974
Non-Member General Securities ExaminationCurrent Firm
E. S. HOPE FINANCIAL
CRD#: 19885 / SEC#: , 8-37885
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOKACH, VICTOR JOHN | PRESIDENT, CHIEF COMPLIANCE OFFICER | 2243770 |
| STRAUB, SUSAN | SHAREHOLDER < 10% W/ STANDSTILL AGMT |
Disclosures
| Regulatory Event | 2 |
| 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.
