James K. Fischer
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 Kenneth Fischer was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 3 firms and has passed the 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
August 25, 1998 - May 22, 2014
FIRST ANALYSIS SECURITIES CORPORATION
April 5, 1988 - August 1, 1989
MESIROW CAPITAL, INC.
September 21, 1983 - August 27, 1998
MESIROW FINANCIAL, 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
FIRST ANALYSIS SECURITIES CORPORATION
CRD#: 10446 / SEC#: , 8-27350
Contact information
FINRA licenses (30 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST ANALYSIS CORPORATION | PARENT COMPANY | |
| HESS, DAVID CLARENCE | CHIEF COMPLIANCE OFFICER | 2187717 |
| KHAN, RIAAD SYED | CHIEF FINANCIAL OFFICER / FINOP | 6759962 |
| LESHUK, DAVID JOHN | DIRECTOR | 2935779 |
| NICKLIN, FRANCIS OLIVER JR | CEO, MANAGING DIRECTOR & PRESIDENT | 347877 |
| NICKLIN, MATTHEW OLIVER | MANAGING DIRECTOR | 4216136 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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