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JP

James A. Paquette

Some features on this profile are disabled
CRD#: 2164109
JP

Professional summary

James Adam Paquette was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, James had worked at 11 firms, which includes VESTECH SECURITIES INC., IBN FINANCIAL SERVICES INC., INVESTACORP ADVISORY SERVICES INC, INVESTACORP INC., BERTHEL FISHER & COMPANY FINANCIAL SERVICES INC., KESTRA INVESTMENT SERVICES LLC, LEVEL FOUR FINANCIAL LLC, RAYMOND JAMES FINANCIAL SERVICES INC., WELLS FARGO CLEARING SERVICES LLC, FIRST UNION CAPITAL MARKETS CORP., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Adam Paquette | James A Paquette

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 26, 2018 - January 15, 2019

VESTECH SECURITIES, INC.

BD
CRD#: 41409
ST. LOUIS, MO
Past

August 3, 2017 - September 7, 2018

IBN FINANCIAL SERVICES, INC.

BD
CRD#: 42360
LIVERPOOL, NY
Past

April 4, 2012 - July 10, 2017

INVESTACORP ADVISORY SERVICES INC

RIA
CRD#: 109011
PAWLEYS ISLAND, SC
Past

March 29, 2012 - July 10, 2017

INVESTACORP, INC.

BD
CRD#: 7684
PAWLEYS ISLAND, SC
Past

November 14, 2007 - March 22, 2012

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA
CRD#: 13609
PAWLEYS ISLAND, SC
Past

August 31, 2007 - March 22, 2012

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
PAWLEYS ISLAND, SC
Past

January 24, 2007 - August 9, 2007

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
PAWLEY ISLAND, SC
Past

January 3, 2007 - August 9, 2007

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
PAWLEY ISLAND, SC
Past

November 1, 2006 - December 20, 2006

LEVEL FOUR FINANCIAL, LLC

RIA
CRD#: 25700
CALABASH, NC
Past

October 25, 2006 - December 20, 2006

LEVEL FOUR FINANCIAL, LLC

BD
CRD#: 25700
CALABASH, NC
Past

April 24, 2002 - October 27, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
PAWLEYS ISLAND, SC
Past

January 24, 2002 - October 27, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
PAWLEYS ISLAND, SC
Past

October 1, 1999 - January 29, 2002

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

July 12, 1993 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

October 23, 1991 - July 16, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/13/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/23/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/7/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 5/23/1997
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/20/2002
General Securities Principal Examination

Current Firm

VS
VESTECH SECURITIES, INC.
ENHANCED PREMIUM PARTNERS III, LLC | VESTECH SECURITIES, INC. | VESTECH SECURITIES, INC | REAL PREMIUM PARTNERS, V | REAL PREMIUM PARTNERS, LLC IV | REAL PREMIUM PARTNERS, LLC | REAL PREMIUM APPRECIATION | ENHANCED PREMIUM PARTNERS, LLC

CRD#: 41409 / SEC#: , 8-49409

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
11477 Olde Cabin Rd. Suite 310, St. Louis, MO 63141
Mailing Address
11477 Olde Cabin Rd. Suite 310, St. Louis, MO 63141
Phone number
(314) 828-2111
Established
Kansas since 03/13/1996
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
HUANG, JOHN CHUNENPRESIDENT2659909
KNESE, PAUL BERNARDAML OFFICER AND DSO2541241
RAMIREZ, MARCO ANTONIOCCO4702164

Disclosures

Regulatory Event4

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.

Company Information

VESTECH SECURITIES, INC.

CRD#: 41409

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