James L. Piot
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 Lester Piot, who also goes by Jim Piot, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2011 - October 2, 2018
AMERIGO ASSET MANAGEMENT CORPORATION
April 19, 2006 - October 5, 2007
CULLUM & BURKS SECURITIES, INC.
April 19, 2006 - October 5, 2007
CULLUM & BURKS SECURITIES, INC.
August 23, 2002 - April 28, 2005
OSAIC FA, INC.
August 23, 2002 - April 28, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 23, 2002 - April 28, 2005
OSAIC FA, INC.
January 14, 2002 - August 8, 2002
EMEC FINANCIAL, INC.
September 6, 2001 - August 13, 2002
CULLUM & BURKS SECURITIES, INC.
January 31, 1996 - September 12, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 31, 1996 - September 12, 2001
OSAIC FA, INC.
January 14, 1992 - January 22, 1997
CULLUM & SANDOW SECURITIES, INC.
October 30, 1989 - April 14, 1993
CULLUM & SANDOW, INC.
May 25, 1989 - November 24, 1989
CULLUM & SANDOW SECURITIES, INC.
December 23, 1987 - November 14, 1988
RAUSCHER PIERCE REFSNES, 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
AMERIGO ASSET MANAGEMENT CORPORATION
CRD#: 153607 / SEC#: 801-71330
Contact information
Regulatory assets under management
| Total Number of Accounts | 10 |
| AUM (Assets Under Management) | $ 3,893,839 |
Red Flags
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