James D. Kern
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 Douglas Kern, who also goes by James Kern, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2015 - January 29, 2016
AGM SECURITIES LLC
November 22, 2010 - June 6, 2014
NOMURA SECURITIES INTERNATIONAL, INC.
September 29, 2010 - October 28, 2011
NOMURA SECURITIES NORTH AMERICA, LLC
October 1, 2008 - October 6, 2010
J.P. MORGAN SECURITIES LLC
June 2, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
November 17, 1994 - June 2, 2008
J.P. MORGAN SECURITIES LLC
March 7, 1994 - October 8, 1994
VECTORGLOBAL WMG
February 10, 1992 - March 9, 1994
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
AGM SECURITIES LLC
CRD#: 132197 / SEC#: , 8-66568
Contact information
FINRA licenses (2 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
