James A. Farrish
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 Alexander Farrish, who also goes by Jim Farrish, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 9 firms and has passed the Series 63, 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
January 22, 1993 - March 9, 2023
MONEY STRATEGIES INC
July 8, 1991 - July 17, 2009
OSAIC FS, INC.
October 10, 1990 - July 5, 1991
SECURITIES SERVICE NETWORK, LLC
August 23, 1990 - October 15, 1990
PLANNED INVESTMENTS INC.
January 19, 1990 - December 11, 1990
SECURITIES AMERICA, INC.
November 20, 1989 - December 8, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 19, 1989 - January 30, 1990
OSAIC WEALTH, INC.
April 7, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
April 10, 1987 - April 19, 1988
FSC SECURITIES CORPORATION
October 22, 1985 - May 8, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MONEY STRATEGIES INC
CRD#: 106363 / SEC#: 801-41282
Contact information
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.
