James C. Popken
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 Charles Popken, who also goes by Jamie Charles Popkin, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 1990 - September 17, 1990
STUART, COLEMAN & CO., INC.
March 13, 1990 - May 11, 1990
WELLSHIRE SECURITIES, INC.
March 7, 1990 - April 12, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 7, 1990 - April 12, 1990
PRUCO SECURITIES, LLC.
September 19, 1989 - January 24, 1990
D. H. BLAIR & 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
Current Firm
STUART, COLEMAN & CO., INC.
CRD#: 8642 / SEC#: , 8-25824
Contact information
Documents
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.
