James M. Alite
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 Michael Alite 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 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 1990 - October 25, 1990
THE STUART-JAMES COMPANY, INCORPORATED
August 22, 1990 - September 18, 1991
BARRETT DAY SECURITIES, INC.
April 5, 1990 - June 12, 1990
VANDERBILT SECURITIES, INC.
May 20, 1988 - February 13, 1990
J. T. MORAN & CO., INC.
November 25, 1987 - May 23, 1988
SHERWOOD CAPITAL, 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
THE STUART-JAMES COMPANY, INCORPORATED
CRD#: 11691 / SEC#: , 8-26610
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.
