James J. Funk
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 Jacob Funk, who also goes by James Jacob Hung, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 12 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 27 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
March 16, 2011 - February 25, 2015
QUEST CAPITAL STRATEGIES, INC.
July 16, 2008 - July 17, 2009
ACE DIVERSIFIED CAPITAL, INC.
August 5, 2005 - January 4, 2007
KYSON & CO
July 9, 2004 - August 17, 2004
ETECH SECURITIES, INC.
January 8, 2004 - June 7, 2004
GLOBAL-AMERICAN INVESTMENTS, INC.
May 7, 2002 - January 12, 2004
SUPERTRADE SECURITIES, INC.
June 1, 2001 - February 15, 2002
BROOKFIELD SECURITIES, INC.
December 22, 1999 - September 19, 2000
PROVIDENTIAL SECURITIES, INC.
May 28, 1999 - December 10, 1999
ACUMENT SECURITIES, INC.
November 28, 1997 - May 24, 1999
QUEST CAPITAL STRATEGIES, INC.
October 16, 1995 - August 21, 1996
E-W INVESTMENTS, INC.
January 31, 1992 - November 23, 1994
QUEST CAPITAL STRATEGIES, INC.
January 9, 1990 - September 28, 1990
DICKINSON & CO.
May 25, 1988 - June 7, 1989
INTERFIRST CAPITAL CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
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