James U. Wieties
Professional summary
James Uffie Wieties, who also goes by James U Wieties, is a registered financial professional currently at X-CHANGE FINANCIAL ACCESS, LLC located in Chicago, Illinois.
James is registered as a RR (Registered Representative) and started their career in finance in 1992. James has worked at 3 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Uffie Wieties's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 2, 2004 - Present
X-CHANGE FINANCIAL ACCESS, LLC
Office #1: 222 W Adams Street Suite 450, Chicago, IL 60606September 21, 1994 - November 22, 2002
MORGAN STANLEY & CO. LLC
May 21, 1992 - August 2, 1994
THE CHICAGO 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 99TO
Date: 7/25/2024
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamCboe Exchange, Inc.
FINRA
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Current Firm
X-CHANGE FINANCIAL ACCESS, LLC
CRD#: 126201 / SEC#: , 8-65860
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 32 |
Red Flags
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