James E. Jacques
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 Edward Jacques was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 6 firms and has passed the Series 63, Series 55, Series 7 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 14, 2012 - November 5, 2012
KCCI, LTD.
May 17, 2005 - June 7, 2010
FINACORP SECURITIES
November 23, 2004 - May 19, 2005
SGI, LLC
October 5, 1987 - November 3, 2004
WILSHIRE ASSOCIATES INCORPORATED
April 2, 1986 - August 22, 1987
CANTOR FITZGERALD & CO.
November 21, 1984 - April 16, 1987
WILLIAM O'NEIL SECURITIES
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 55
Date: 1/7/2000
Limited Representative-Equity Trader ExamCurrent Firm
KCCI, LTD.
CRD#: 34528 / SEC#: , 8-20629
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
