James P. Hancock
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 Parrish Hancock was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 4 firms and has passed the Series 63, SIE, Series 15, Series 5, Series 3, Series 7, Series 28, Series 53, Series 4 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
May 11, 1995 - March 29, 2016
HANCOCK FINANCIAL, INC.
February 7, 1989 - August 24, 1995
UNITED PACIFIC SECURITIES, INC.
July 17, 1984 - January 18, 1989
UBS FINANCIAL SERVICES INC.
December 21, 1983 - March 20, 1984
INTERFIRST CAPITAL CORPORATION
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 15
Date: 11/5/1986
Foreign Currency Options ExaminationSeries 5
Date: 11/5/1986
Interest Rate Options ExaminationSeries 28
Date: 1/11/1995
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
HANCOCK FINANCIAL, INC.
CRD#: 37629 / SEC#: , 8-47910
Contact information
Documents
Disclosures
| Regulatory Event | 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.
