James D. Novak
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 Daniel Novak was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1997. James had worked at 4 firms and has passed the Series 63, SIE 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
October 6, 2014 - November 24, 2015
LICCAR SECURITIES, LLC
August 17, 2011 - October 8, 2012
FFEC WEALTH PARTNERS LLC
August 17, 2011 - October 8, 2012
FFEC WEALTH PARTNERS LLC
January 1, 1999 - May 16, 2011
UBS FINANCIAL SERVICES INC.
August 20, 1997 - May 16, 2011
UBS FINANCIAL SERVICES INC.
June 20, 1997 - August 18, 1997
DAIWA CAPITAL MARKETS AMERICA 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
LICCAR SECURITIES, LLC
CRD#: 151034 / SEC#: , 8-68329
Contact information
Documents
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.
