James A. Elkins
Professional summary
James Alvis Elkins JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, James had worked at 4 firms, which includes STRATEGIC ASSETS INC., FIRST SECURITIES USA INC., FIRST ASSOCIATED SECURITIES GROUP INC., EQUITY SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 1997 - June 22, 1998
STRATEGIC ASSETS INC.
June 26, 1996 - May 16, 1997
FIRST SECURITIES USA, INC.
February 2, 1994 - June 26, 1996
FIRST ASSOCIATED SECURITIES GROUP, INC.
August 4, 1989 - February 3, 1994
EQUITY SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
STRATEGIC ASSETS INC.
CRD#: 37590 / SEC#: , 8-47815
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APPEL, RANDALL STEPHEN | PRESIDENT | |
| APPEL, RANDALL STEPHEN | PRESIDENT | 737169 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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