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JH

James S. Huh

Some features on this profile are disabled
CRD#: 2068846
JH

Professional summary

James Soreide Huh 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 1990. Prior to being barred, James had worked at 9 firms, which includes RE-DIRECT SECURITIES CORP, FARMERS FINANCIAL SOLUTIONS LLC, SII INVESTMENTS INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC., BARING & BROWN INC., ROYCE PARK INVESTMENTS INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 19, 2002 - January 2, 2003

RE-DIRECT SECURITIES CORP

BD
CRD#: 35518
VILLA PARK, IL
Past

June 11, 2001 - July 24, 2002

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
WESTLAKE VILLAGE, CA
Past

April 23, 1997 - April 30, 2001

RE-DIRECT SECURITIES CORP

BD
CRD#: 35518
VILLA PARK, IL
Past

August 20, 1996 - December 30, 1996

SII INVESTMENTS, INC.

BD
CRD#: 2225
APPLETON, WI
Past

January 1, 1993 - August 19, 1996

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

January 1, 1993 - August 19, 1996

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

October 28, 1991 - November 16, 1992

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

October 28, 1991 - November 16, 1992

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

October 22, 1990 - September 11, 1991

BARING & BROWN, INC.

BD
CRD#: 24929
Past

July 13, 1990 - October 26, 1990

ROYCE PARK INVESTMENTS, INC.

BD
CRD#: 16539

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/6/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/19/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/16/1990
General Securities Representative Examination

Current Firm

RS
RE-DIRECT SECURITIES CORP
RE-DIRECT SECURITIES CORP

CRD#: 35518 / SEC#: , 8-46711

BD
Terminated by SEC on 10/19/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 11/12/1993
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
RE-DIRECT SERVICES, INC.PARENT CORP
HALLORAN, MARTIN JOSEPHTREASURER2210107
JONES, KEITH RICHARDMUNICIPAL SECURITY PRINCIPAL2268300
LUTSCH, DAVID GERARDMUNICIPAL SECURITY PRINCIPAL1439611
POWERS, ANDREW JAMESPRESIDENT1885672
TESCH, JAMES ALLANVICE-PRESIDENT2208095

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

RE-DIRECT SECURITIES CORP

CRD#: 35518

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