James W. Ness
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 William Ness, who also goes by ., 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, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2003 - December 18, 2015
POWELL CAPITAL MARKETS, INC.
January 3, 2002 - April 24, 2003
RBC CAPITAL MARKETS, LLC
September 1, 1999 - January 15, 2002
TUCKER ANTHONY INCORPORATED
August 24, 1999 - September 1, 1999
GIBRALTAR SECURITIES CO.
February 2, 1998 - March 26, 1999
FIRST UNION CAPITAL MARKETS CORP.
January 2, 1996 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
September 20, 1988 - January 2, 1996
FIRST FIDELITY BROKERS, INC.
May 21, 1986 - October 5, 1988
GIBRALTAR SECURITIES CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
POWELL CAPITAL MARKETS, INC.
CRD#: 28328 / SEC#: , 8-43472
Contact information
Documents
Red Flags
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