James E. Coutlakis
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 Emanuel Coutlakis was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1989. James had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 53, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 1999 - December 31, 2006
SPARTAN CAPITAL MANAGEMENT
April 28, 1998 - August 18, 1999
ADVEST, INC.
May 1, 1991 - April 21, 1998
AMERIPRISE ADVISOR SERVICES, INC.
April 18, 1989 - January 31, 1991
F.N. WOLF & CO., 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: 7/20/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current firm
No current employment
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.
