James D. Flakne
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 David Flakne was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1972. James had worked at 7 firms and has passed the Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 1982 - June 18, 1984
MORISON SECURITIES, INC.
December 10, 1975 - November 6, 1977
CRAIG-HALLUM, INC.
October 17, 1974 - January 2, 1976
MIDWEST DISCOUNT SECURITIES, INC.
June 1, 1974 - November 15, 1974
JOHN G KINNARD & COMPANY
January 4, 1974 - February 28, 1974
MARGOLIS & CO., INC.
May 2, 1973 - June 30, 1974
STEARNS & CO., INC.
March 21, 1972 - May 1, 1973
J SHAPIRO COMPANY
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 1
Date: 3/16/1972
Registered Representative ExaminationF04
Date: 8/9/1973
Financial Principal ExaminationSeries 00
Date: 8/9/1973
General Securities Principal ExaminationCurrent Firm
MORISON SECURITIES, INC.
CRD#: 8097 / SEC#: , 8-24318
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.
