James P. Somers
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 Patrick Somers, who also goes by Jim Somers, was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1986. James had worked at 7 firms and has passed the Series 65, Series 63, Series 3, 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
April 7, 2008 - March 12, 2009
SCOTTSDALE CAPITAL ADVISORS CORP
July 17, 2007 - April 10, 2008
REGAL SECURITIES, INC.
March 1, 2000 - June 26, 2007
BROOKSTREET SECURITIES CORPORATION
July 16, 1998 - June 26, 2007
BROOKSTREET SECURITIES CORPORATION
January 29, 1995 - July 10, 1998
TRIQUEST FINANCIAL, INC.
March 20, 1992 - February 6, 1995
PRUDENTIAL EQUITY GROUP, LLC
January 13, 1989 - March 30, 1992
LEHMAN BROTHERS INC.
March 19, 1986 - February 6, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
SCOTTSDALE CAPITAL ADVISORS CORP
CRD#: 118786 / SEC#: 801-60965, 8-53685
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
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.
