James T. Midkiff
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 Thomas Midkiff, who also goes by Jim Midkiff, was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1987. James had worked at 6 firms and has passed the Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2019 - September 9, 2022
INSTITUTIONAL SECURITIES CORPORATION
January 10, 2006 - November 8, 2019
BRAZOS SECURITIES, INC.
July 5, 2002 - February 24, 2004
MOMENTUM INDEPENDENT NETWORK INC.
May 14, 1993 - July 18, 2002
MORGAN STANLEY DW INC.
May 14, 1993 - July 18, 2002
MORGAN STANLEY DW INC.
April 27, 1992 - June 15, 1993
PRUDENTIAL EQUITY GROUP, LLC
June 3, 1987 - April 29, 1992
MORGAN STANLEY DW INC.
April 29, 1987 - May 20, 1987
BROWN AND BROWN 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
INSTITUTIONAL SECURITIES CORPORATION
CRD#: 20291 / SEC#: 801-36967, 8-38158
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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