James A. Kohout
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 Adolph Kohout was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2017 - December 31, 2020
OAKWOOD CAPITAL SECURITIES, INC.
July 7, 2016 - March 28, 2017
EMERGENT FINANCIAL GROUP, INC.
March 16, 2005 - July 28, 2016
FIRST AMERICAN SECURITIES, INC.
September 20, 1988 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
September 20, 1988 - March 9, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 20, 1988 - March 9, 2005
OSAIC FA, INC.
April 21, 1986 - September 15, 1988
PRINCIPAL SECURITIES, 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
OAKWOOD CAPITAL SECURITIES, INC.
CRD#: 21000 / SEC#: , 8-38631
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Bond | 1 |
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.
