James A. Mergens
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 Andrew Mergens, who also goes by James A Mergens, James Mergens, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 10 firms and has passed the Series 63, SIE 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
September 17, 2020 - October 9, 2020
ZERMATT SECURITIES LLC
July 17, 2020 - December 18, 2023
SECURITIES AMERICA, INC.
January 7, 2016 - July 17, 2020
INVESTACORP, INC.
January 29, 2013 - December 31, 2015
KESTRA INVESTMENT SERVICES, LLC
May 27, 2009 - April 20, 2012
KESTRA INVESTMENT SERVICES, LLC
November 1, 2006 - June 8, 2007
MML DISTRIBUTORS, LLC
March 26, 2004 - June 16, 2006
AON SECURITIES LLC
December 3, 1997 - January 30, 2004
SECURITIES SERVICE NETWORK, LLC
August 8, 1994 - December 18, 1997
OSAIC FS, INC.
March 9, 1994 - August 10, 1994
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
May 7, 1992 - March 9, 1994
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ZERMATT SECURITIES LLC
CRD#: 47502 / SEC#: 801-63052, 8-51808
Contact information
Disclosures
| Regulatory Event | 1 |
Red Flags
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