James P. Zickel
Professional summary
James Philip Zickel, who also goes by Jim Zickel, is a registered financial professional currently at SOUTHEAST INVESTMENTS, N.C., INC. located in Charlotte, North Carolina.
James is registered as a RR (Registered Representative) and started their career in finance in 1984. James has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Philip Zickel's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 5, 2006 - Present
SOUTHEAST INVESTMENTS, N.C., INC.
Office #1: 820 Tyvola Road, Suite 104, Charlotte, NC 28217January 20, 2005 - September 6, 2006
FSC SECURITIES CORPORATION
July 8, 2003 - December 31, 2004
FSC SECURITIES CORPORATION
January 3, 1995 - September 6, 2006
FSC SECURITIES CORPORATION
February 20, 1991 - January 4, 1995
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 23, 1990 - December 31, 1990
MARINER FINANCIAL SERVICES, INC.
November 26, 1985 - May 1, 1990
CENTURY INVESTORS OF AMERICA, INC.
August 16, 1984 - December 27, 1985
FORESTERS FINANCIAL SERVICES, 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
(10/9/2019)
(1/8/2016)
(9/5/2006)
Exams
FINRA
Current Firm
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
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