James E. Gingles
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 Gingles was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 11 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2018 - January 26, 2022
OAK TREE SECURITIES, INC.
October 14, 2013 - May 17, 2018
SILBER BENNETT FINANCIAL, INC.
May 19, 2011 - September 17, 2013
WEDBUSH SECURITIES INC.
June 24, 2010 - February 28, 2011
MCL FINANCIAL GROUP, INC.
January 3, 2005 - May 26, 2010
OKOBOJI FINANCIAL SERVICES, INC.
June 23, 1997 - December 31, 2004
CAPWEST SECURITIES, INC.
June 10, 1997 - June 16, 1997
VSR FINANCIAL SERVICES, INC.
February 7, 1995 - June 11, 1997
HORNOR, TOWNSEND & KENT, LLC
March 8, 1994 - January 17, 1995
HAMILTON FAIRCHILD SECURITIES CORPORATION
January 29, 1990 - January 1, 1994
ACUMENT SECURITIES, INC.
July 17, 1987 - January 12, 1990
SWINK & COMPANY, INC.
February 25, 1985 - January 12, 1990
SWINK & COMPANY, 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
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
OAK TREE SECURITIES, INC.
CRD#: 18126 / SEC#: 801-39201, 8-36138
Contact information
FINRA licenses (19 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 3,689,200 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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