James W. Zelek
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 Walter Zelek, who also goes by James W Zelek, Jim Zelek, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 6 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
June 7, 2012 - June 11, 2014
INVESTORS CAPITAL CORP.
March 29, 2012 - June 11, 2014
INVESTORS CAPITAL CORP.
October 20, 2004 - June 26, 2014
ZELEK & ASSOCIATES
July 8, 2000 - March 30, 2012
OSAIC FS, INC.
June 23, 1995 - July 8, 2000
POLARIS FINANCIAL SERVICES, INC.
April 20, 1993 - December 31, 1993
MUTUAL SERVICE CORPORATION
April 8, 1992 - April 23, 1993
AMERICAN EXPRESS SERVICE CORPORATION
December 21, 1983 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
December 21, 1983 - April 23, 1993
IDS LIFE INSURANCE COMPANY
December 21, 1983 - April 23, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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