James S. Vitalie
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 Samuel Vitalie was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 5 firms and has passed the SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2010 - December 26, 2023
FDX CAPITAL LLC
September 1, 2009 - September 14, 2015
ALT FUND DISTRIBUTORS LLC
January 30, 2006 - October 2, 2007
OLD MUTUAL INVESTMENT PARTNERS
July 21, 1999 - August 10, 2000
NATIONAL PLANNING CORPORATION
January 9, 1992 - December 2, 1997
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FDX CAPITAL LLC
CRD#: 119302 / SEC#: , 8-65170
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
