James G. Palatt
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 Gavin Palatt was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 5 firms and has passed the Series 63, Series 50, SIE, Series 7, Series 24, Series 10, Series 9 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2021 - October 7, 2022
T. E. LAIRD SECURITIES, LLC
September 16, 2009 - November 6, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
November 26, 2007 - June 27, 2018
WELLS FARGO SECURITIES, LLC
August 18, 1993 - November 26, 2007
A. G. EDWARDS & SONS, INC.
January 14, 1991 - September 26, 1991
LEHMAN BROTHERS 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
T. E. LAIRD SECURITIES, LLC
CRD#: 169734 / SEC#: , 8-69386
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEL HOLDINGS LLC | DIRECT OWNER | |
| LAIRD, THOMAS EDWARD | CEO/CCO/CFO/AMLCO/FINOP | 2885103 |
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.
