James E. Hagler
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 Eric Hagler, who also goes by J Eric Hagler, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 6 firms and has passed the Series 66, Series 63, SIE, 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
December 2, 2009 - January 21, 2015
FIRST MIDWEST SECURITIES, INC.
December 2, 2009 - January 21, 2015
FIRST MIDWEST SECURITIES, INC.
February 27, 2007 - December 9, 2009
CROWELL, WEEDON & CO.
September 21, 2006 - December 9, 2009
CROWELL, WEEDON & CO.
April 7, 2006 - September 5, 2006
FIRST MIDWEST SECURITIES, INC.
February 7, 1991 - May 20, 1991
THE TRADING DESK, INC.
January 23, 1991 - February 22, 1991
FIRST AMERICAN SECURITIES, INC.
September 19, 1990 - October 23, 1990
CREWS & ASSOCIATES, INC.
June 26, 1987 - September 28, 1990
POWELL & SATTERFIELD, 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
FIRST MIDWEST SECURITIES, INC.
CRD#: 21786 / SEC#: 801-67749, 8-38139
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
