James A. Wulforst
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 Adam Wulforst was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 10 firms and has passed the Series 65, Series 63, SIE, 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
August 7, 2013 - June 4, 2019
SOLIUM FINANCIAL SERVICES LLC
January 8, 2007 - May 29, 2013
E*TRADE SECURITIES LLC
March 18, 1997 - November 9, 2005
FIDELITY DISTRIBUTORS CORPORATION
January 1, 1997 - January 10, 2007
FIDELITY BROKERAGE SERVICES LLC
December 6, 1991 - December 3, 1996
CHASE INVESTMENT SERVICES CORP.
April 18, 1989 - December 3, 1991
PRUDENTIAL EQUITY GROUP, LLC
April 11, 1988 - May 4, 1989
LEHMAN BROTHERS INC.
October 14, 1986 - April 11, 1988
E. F. HUTTON & COMPANY INC
June 1, 1984 - October 6, 1986
MORGAN STANLEY DW INC.
October 19, 1983 - July 20, 1984
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
SOLIUM FINANCIAL SERVICES LLC
CRD#: 147933 / SEC#: , 8-67942
Contact information
Documents
Disclosures
| Regulatory Event | 46 |
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.
