James M. Russen
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 Martin Russen JR, who also goes by Jim Russen Jr, Jim Russen, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 10 firms and has passed the Series 63 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
July 30, 1991 - November 8, 1991
INVESTORS ASSOCIATES, INC.
March 20, 1991 - April 8, 1991
ALLIANCE SECURITIES CORPORATION
March 19, 1991 - August 2, 1991
PAULSON INVESTMENT COMPANY LLC
October 18, 1990 - March 22, 1991
V P SECURITIES, INC.
May 21, 1990 - October 18, 1990
CASTLE SECURITIES CORP.
February 20, 1990 - June 11, 1990
KOCHCAPITAL
November 6, 1989 - February 27, 1990
MADISON CHAPIN ASSOCS., INC.
May 19, 1989 - April 16, 1990
WILLIAM M. CADDEN & CO., INC.
April 19, 1989 - May 13, 1989
U.S. ADVISORS, INC.
April 13, 1989 - April 17, 1989
WILLIAM M. CADDEN & CO., INC.
May 21, 1987 - March 10, 1989
INVESTORS CENTER, 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
INVESTORS ASSOCIATES, INC.
CRD#: 958 / SEC#: , 8-15007
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.
