James P. Sogotis
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 Peter Sogotis was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 9 firms and has passed the Series 63, Series 7 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
July 15, 1996 - January 15, 1997
WELLS FARGO SECURITIES INC.
December 18, 1995 - July 15, 1996
FIRST INTERSTATE INVESTMENTS,INC.
October 8, 1990 - June 21, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 1989 - January 11, 1990
PRUDENTIAL EQUITY GROUP, LLC
April 13, 1989 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
August 1, 1988 - February 2, 1989
SMITH-THOMAS INVESTMENT SERVICES, INC.
July 13, 1988 - July 26, 1988
FINANCIAL ARCHITECTS SECURITIES CORPORATION
October 27, 1986 - January 12, 1988
MJK CLEARING, INC.
July 3, 1986 - August 29, 1986
ADVANTAGE CAPITAL CORPORATION
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
WELLS FARGO SECURITIES INC.
CRD#: 17438 / SEC#: , 8-35225
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAGEN MACKENZIE GROUP, INC. | DIRECT OWNER | |
| BENSUSSEN, VICTOR LAWRENCE | DIRECTOR/FINANCIAL OPERATIONS OFFICER & TREASURER | 1523151 |
| BRONSTEIN, GREGORY PHILLIP | SENIOR VICE PRESIDENT & DIRECTOR | 2276699 |
| DAGGS, CHARLES WILLARD III | DIRECTOR | 59782 |
| FREEMAN, SHELLEY STEUER | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1262649 |
| KAUFMAN, LEAH MARIE | SROP | 2221956 |
| MOORADIAN, DENNIS JACK | CHAIRMAN, PRESIDENT, CHIEF OPERATIONS OFFICER, DIRECTOR, & MUNICIPAL SECURITIES PRINCIPAL | 338698 |
| ROSS, PATRICIA ANN | SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER, CROP | 717926 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 11 |
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.
