James C. Akins
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 Clifford Akins was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 1994 - May 13, 1994
D.E. FREY & COMPANY, INC.
July 31, 1993 - March 31, 1994
CITIGROUP GLOBAL MARKETS INC.
August 28, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
July 6, 1989 - September 4, 1991
PRUDENTIAL EQUITY GROUP, LLC
July 21, 1983 - June 21, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
D.E. FREY & COMPANY, INC.
CRD#: 23595 / SEC#: , 8-40582
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Civil Event | 4 |
| Arbitration | 8 |
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.
