James L. Klotz
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 Louis Klotz was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2001. James had worked at 4 firms and has passed the Series 63, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2006 - August 25, 2009
BREWER FINANCIAL SERVICES, LLC
February 10, 2005 - May 23, 2005
INTRODUCING BROKERS ALLIANCE, INC.
August 24, 2001 - August 30, 2004
PEREGRINE FINANCIALS & SECURITIES, INC.
March 27, 2001 - July 27, 2001
BLUESUIT SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BREWER FINANCIAL SERVICES, LLC
CRD#: 132558 / SEC#: , 8-66603
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
