James L. Rawlings
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 Lewis Rawlings was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 3 firms and has passed the Series 63, Series 7, Series 62 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
July 23, 2008 - July 10, 2013
G.C. ANDERSEN PARTNERS CAPITAL, LLC
December 5, 1997 - May 28, 1998
BCP SECURITIES, INC.
October 25, 1994 - April 18, 1996
ROBERT FLEMING 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 62
Date: 10/24/1994
Corporate Securities Limited Representative ExaminationCurrent Firm
G.C. ANDERSEN PARTNERS CAPITAL, LLC
CRD#: 44631 / SEC#: , 8-50776
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
