James E. Corona
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 Eugene Corona JR, who also goes by James E Corona Jr, Jim Corona, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 8, 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 8, 2016 - October 27, 2016
KALOS MANAGEMENT
January 21, 2016 - October 27, 2016
KALOS CAPITAL, INC.
March 19, 2002 - August 18, 2014
SCOTTRADE, INC.
April 22, 1996 - September 7, 2001
TD AMERITRADE, INC.
September 30, 1991 - April 2, 1996
AMERIPRISE ADVISOR 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
Series 8
Date: 4/1/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
KALOS MANAGEMENT
CRD#: 133025 / SEC#: 801-65182
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,174 |
| AUM (Assets Under Management) | $ 128,562,434 |
Red Flags
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