James S. Finck
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 Shaw Finck, who also goes by Jim Finck, 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, 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
May 18, 1990 - January 30, 1991
TITAN/VALUE EQUITIES GROUP, INC.
April 3, 1989 - May 18, 1990
JONATHAN ALAN & CO., INC.
March 8, 1988 - March 6, 1989
J. B. HANAUER & CO.
July 15, 1987 - February 23, 1988
WACHOVIA SECURITIES, INC.
February 26, 1987 - July 10, 1987
MOORE & SCHLEY, CAMERON & CO.
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
TITAN/VALUE EQUITIES GROUP, INC.
CRD#: 6359 / SEC#: , 8-16697
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.
