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JA

James K. Abbott

Some features on this profile are disabled
CRD#: 145
JA

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 Krum Abbott was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1960. James had worked at 8 firms and has passed the Series 63, PC, Series 1, Series 12 and Series 40 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 4, 1999 - June 27, 2013

PMK CAPITAL ADVISORS INC

RIA
CRD#: 108061
DELRAY BEACH, FL
Past

January 15, 1997 - June 7, 2013

PMK SECURITIES & RESEARCH, INC.

BD
CRD#: 40145
DELRAY BEACH, FL
Past

January 22, 1990 - January 15, 1997

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

May 14, 1988 - July 22, 1988

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

April 26, 1988 - February 2, 1990

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 18, 1977 - May 14, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

April 14, 1975 - August 29, 1977

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
Past

March 20, 1973 - April 24, 1975

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

January 26, 1960 - February 28, 1973

SALOMON BROTHERS INC.

BD
CRD#: 740

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/21/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
PC
Date: 2/25/1991
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 1/26/1960
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 12
Date: 11/15/1972
NYSE Branch Manager Examination
Principal/Supervisory Exam
RR
Series 40
Date: 2/19/1972
Registered Principal Examination

Current Firm

PC
PMK CAPITAL ADVISORS INC
PMK CAPITAL ADVISORS INC

CRD#: 108061 / SEC#: 801-56209

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Contact information

Main Address
105 E. Atlantic Avenue Suite 200, Delray Beach, FL 33444
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

PMK CAPITAL ADVISORS, INC. (3/27/2013)

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.

Company Information

PMK CAPITAL ADVISORS INC

CRD#: 108061

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