James L. Moles
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 Louis Moles was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 4 firms and has passed the Series 65, 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
October 25, 2013 - December 19, 2023
PURSHE KAPLAN STERLING INVESTMENTS
October 18, 2013 - December 12, 2023
FORUM FINANCIAL MANAGEMENT, LP
September 30, 1998 - October 21, 2013
CETERA INVESTMENT ADVISERS LLC
August 19, 1992 - October 21, 2013
CETERA FINANCIAL SPECIALISTS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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