James N. Singer
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 Nicholas Singer II was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 53, Series 8, Series 4 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
April 27, 1998 - November 25, 1998
ALLEN DOUGLAS SECURITIES, INC.
December 4, 1996 - March 15, 1998
EMPIRE FINANCIAL GROUP, INC.
November 19, 1991 - October 29, 1996
CHARLES SCHWAB & CO., INC.
August 9, 1991 - December 2, 1991
EURO-ATLANTIC SECURITIES INC.
March 21, 1991 - June 4, 1991
KOBER FINANCIAL CORP.
December 5, 1988 - January 17, 1990
KOBER FINANCIAL CORP.
July 19, 1988 - December 7, 1988
J. W. GANT & ASSOCIATES, 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
Series 8
Date: 10/19/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALLEN DOUGLAS SECURITIES, INC.
CRD#: 42410 / SEC#: , 8-49831
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| 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.
