James Flett
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 Flett III, who also goes by Jim Flett III, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 8 firms and has passed the Series 65, 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
January 1, 2004 - September 30, 2016
PACIFIC FINANCIAL PLANNERS, INC
August 22, 2003 - December 31, 2016
COMMONWEALTH FINANCIAL NETWORK
August 22, 2003 - December 31, 2016
COMMONWEALTH FINANCIAL NETWORK
May 1, 2001 - August 21, 2003
MUTUAL SERVICE CORPORATION
July 20, 1999 - November 15, 2000
GATEWAY INVESTMENT SERVICES, INC.
August 13, 1997 - May 1, 2001
VALIC FINANCIAL ADVISORS, INC.
February 7, 1996 - May 1, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
June 29, 1994 - December 31, 1995
NATIONWIDE FUND DISTRIBUTORS LLC
March 13, 1990 - April 19, 1994
THE O.N. EQUITY SALES COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PACIFIC FINANCIAL PLANNERS, INC
CRD#: 112249 / SEC#:
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
