James A. Marshall
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 Allen Marshall, who also goes by Jim Marshall, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 4 firms and has passed the Series 63 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
February 1, 1996 - November 25, 1996
GREAT SOUTHERN INVESTMENTS
July 12, 1993 - January 26, 1994
GREAT SOUTHERN INVESTMENTS
March 30, 1993 - May 25, 1993
CETERA WEALTH SERVICES, LLC
August 26, 1991 - September 27, 1991
METROPOLITAN LIFE INSURANCE COMPANY
August 26, 1991 - September 27, 1991
MSI FINANCIAL SERVICES, INC.
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
Current Firm
GREAT SOUTHERN INVESTMENTS
CRD#: 19591 / SEC#: , 8-37657
Contact information
Documents
Red Flags
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