James J. Konaxis
Professional summary
James John Konaxis was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, James had worked at 13 firms, which includes SUMMIT BROKERAGE SERVICES INC., INVESTORS CAPITAL CORP., SENTINEL PENSION ADVISORS LLC., SENTINEL SECURITIES LLC., RAYMOND JAMES FINANCIAL SERVICES INC., MORGAN STANLEY & CO. LLC, MORGAN STANLEY DW INC., WELLS FARGO CLEARING SERVICES LLC, CITIGROUP GLOBAL MARKETS INC., CIBC WORLD MARKETS CORP., J.P. MORGAN SECURITIES LLC, THOMSON MCKINNON SECURITIES INC., LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2010 - November 29, 2010
SUMMIT BROKERAGE SERVICES, INC.
May 24, 2010 - July 2, 2010
INVESTORS CAPITAL CORP.
May 21, 2010 - July 2, 2010
INVESTORS CAPITAL CORP.
February 26, 2009 - June 7, 2010
SENTINEL PENSION ADVISORS, LLC.
April 4, 2008 - June 7, 2010
SENTINEL SECURITIES, LLC.
December 3, 2007 - April 8, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 2, 2007 - December 6, 2007
MORGAN STANLEY & CO. LLC
February 6, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
October 11, 2000 - February 6, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 18, 1997 - October 17, 2000
CITIGROUP GLOBAL MARKETS INC.
January 6, 1995 - June 27, 1997
CIBC WORLD MARKETS CORP.
September 8, 1989 - December 21, 1994
J.P. MORGAN SECURITIES LLC
April 5, 1989 - August 28, 1989
THOMSON MCKINNON SECURITIES INC.
May 21, 1987 - March 29, 1989
LEHMAN BROTHERS 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
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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.
