James W. Gaskins
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 Winslow Gaskins JR, who also goes by James W Gaskins Jr, James Winslow Gaskins, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 5 firms and has passed the Series 63 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 1, 1995 - January 1, 1996
CITISTREET EQUITIES LLC
May 26, 1993 - August 24, 1995
AMERICAN CLASSIC FINANCIAL COMPANY
April 5, 1989 - October 10, 1991
PHILADELPHIA FINANCIAL ADVISORS, INC.
November 19, 1987 - February 13, 1989
UR FINANCIAL, INC.
February 11, 1987 - November 16, 1987
SIGNATOR INVESTORS, 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
CITISTREET EQUITIES LLC
CRD#: 7447 / SEC#: , 8-21009
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Bond | 1 |
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.
