James F. Wilkes
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 Frane Wilkes, who also goes by Jim Wilkes, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 5 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2006 - December 11, 2006
BIRCHTREE FINANCIAL SERVICES LLC
January 2, 1996 - March 30, 2006
ADP BROKER-DEALER, INC.
June 20, 1994 - November 15, 1995
GUARDIAN INVESTOR SERVICES LLC
August 30, 1993 - June 10, 1994
WS GRIFFITH SECURITIES, INC.
April 2, 1985 - August 30, 1993
VP DISTRIBUTORS LLC
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
Current Firm
BIRCHTREE FINANCIAL SERVICES LLC
CRD#: 15014 / SEC#: , 8-31632
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
