James K. Biggar
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 Kelly Biggar, who also goes by Jim Biggar, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 6 firms and has passed the Series 65, Series 63, SIE, 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
August 30, 2016 - June 17, 2024
SUMMIT FINANCIAL
August 2, 2004 - December 23, 2016
LPL FINANCIAL LLC
August 2, 2004 - August 23, 2023
LPL FINANCIAL LLC
April 21, 2004 - June 24, 2004
WS GRIFFITH SECURITIES, INC.
May 30, 2001 - March 24, 2004
EQUITABLE ADVISORS, LLC
January 20, 1997 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 20, 1997 - March 24, 2004
EQUITABLE ADVISORS, LLC
April 23, 1993 - December 4, 1996
SECURIAN FINANCIAL SERVICES, INC.
June 9, 1986 - September 20, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 9, 1986 - September 20, 1993
EQUITABLE ADVISORS, LLC
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
SUMMIT FINANCIAL
CRD#: 281050 / SEC#: 801-120644
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 583 |
| AUM (Assets Under Management) | $ 255,026,324 |
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.
