James R. Filak
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 Richard Filak was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2013 - June 28, 2019
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
April 8, 2013 - July 7, 2016
G.F. INVESTMENT SERVICES, LLC
July 29, 2011 - March 1, 2013
SPC
July 26, 2011 - March 1, 2013
SIGMA FINANCIAL CORPORATION
July 16, 2010 - July 6, 2011
CETERA INVESTMENT ADVISERS LLC
December 18, 2001 - July 6, 2011
CETERA FINANCIAL SPECIALISTS LLC
January 16, 1991 - October 11, 2001
FIRST INTERNATIONAL INVESTMENT CORPORATION
May 8, 1989 - January 31, 1991
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Exams
Current Firm
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
CRD#: 132070 / SEC#: 801-63282
Contact information
Red Flags
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