James C. Hale
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 Carroll Hale was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 3 firms and has passed the Series 63, Series 7, Series 22, Series 53, Series 27, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 1990 - July 5, 1990
V.F. MINTON SECURITIES, INC.
July 23, 1987 - July 5, 1990
L.M. DREW & ASSOCIATES
January 20, 1987 - May 13, 1987
ALAMO 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
V.F. MINTON SECURITIES, INC.
CRD#: 20642 / SEC#: , 8-38361
Contact information
Documents
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.
