James J. Wukie
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 Joseph Wukie, who also goes by James J Wukie, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 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
March 6, 2012 - December 31, 2014
MERCAP SECURITIES, LLC
March 25, 2011 - October 16, 2015
PROSPERITY CAPITAL ADVISORS
June 7, 2010 - March 30, 2011
AMERICAN INVESTMENT SERVICES
October 18, 2006 - March 24, 2010
FIRST ALLIED SECURITIES, INC.
June 13, 2005 - March 24, 2010
FIRST ALLIED SECURITIES, INC.
April 12, 1996 - June 13, 2005
ROUND HILL SECURITIES, INC.
July 22, 1991 - April 16, 1996
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
February 24, 1987 - July 23, 1991
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MERCAP SECURITIES, LLC
CRD#: 156607 / SEC#: , 8-68810
Contact information
FINRA licenses (1 States and Territories)
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.
