James M. Gettins
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 Morgan Gettins was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 12 firms and has passed the Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 1989 - January 12, 1990
SOARES FINANCIAL GROUP, INC.
July 19, 1988 - December 13, 1988
CORPORATE BENEFIT SECURITIES, INC.
October 12, 1982 - July 11, 1988
GETTINS FINANCIAL GROUP, INC.
April 7, 1980 - October 28, 1983
MORGAN SECURITIES, INC.
August 21, 1979 - April 14, 1980
FINANCIAL PLANNERS EQUITY CORPORATION
March 4, 1977 - September 9, 1979
FOOTHILL SECURITIES, INC.
December 15, 1976 - November 28, 1977
APEX FINANCIAL PLANNERS CORP.
March 16, 1976 - January 23, 1977
A C SECURITIES, INC.
January 19, 1976 - May 2, 1976
APEX FINANCIAL PLANNERS CORP.
November 26, 1973 - January 23, 1977
BIRR, WILSON & CO., INC.
July 28, 1971 - June 25, 1973
JACK MINGO & CO., INC.
March 15, 1971 - August 23, 1971
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
August 20, 1970 - April 26, 1971
GOODBODY & CO. INCORPORATED
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 1
Date: 10/20/1966
Registered Representative ExaminationSeries 40
Date: 5/26/1977
Registered Principal ExaminationCurrent Firm
SOARES FINANCIAL GROUP, INC.
CRD#: 16286 / SEC#: , 8-33653
Contact information
Documents
Red Flags
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