James L. Wilson
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 Lewis Wilson, who also goes by James L Wilson Jr, Jim Wilson Jr, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2006 - May 30, 2013
SICOR SECURITIES INC
February 23, 2000 - March 24, 2006
SECURITIES AMERICA, INC.
October 28, 1996 - March 15, 2000
PROSPERA FINANCIAL SERVICES, INC.
July 19, 1990 - September 11, 1996
MORGAN STANLEY DW INC.
March 27, 1989 - August 10, 1990
LEHMAN BROTHERS INC.
June 7, 1985 - April 6, 1989
CITIGROUP GLOBAL MARKETS 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
Current Firm
SICOR SECURITIES INC
CRD#: 16195 / SEC#: 801-31673, 8-33445
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
