Michael D. James
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.
Michael Douglass James was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 7 firms and has passed the Series 65, 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
January 24, 2012 - December 31, 2021
LEGACY FINANCIAL ADVISORS, LLC
March 2, 2010 - December 31, 2011
LEGACY FINANCIAL ADVISORS, LLC
December 6, 2006 - December 31, 2009
LEGACY FINANCIAL ADVISORS, LLC
January 28, 2005 - February 3, 2006
MML INVESTORS SERVICES, LLC
February 2, 1990 - May 24, 1991
OSAIC FS, INC.
November 20, 1989 - December 8, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 19, 1989 - February 10, 1990
OSAIC WEALTH, INC.
March 21, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
January 6, 1989 - March 28, 1989
HANIFEN, IMHOFF SECURITIES CORP.
July 20, 1988 - January 18, 1989
GRAYSTONE NASH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LEGACY FINANCIAL ADVISORS, LLC
CRD#: 142440 / SEC#:
Contact information
Red Flags
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