James S. Schlueter
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 Scott Schlueter, who also goes by James S Schlueter, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 6 firms and has passed the Series 63 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
November 2, 2005 - May 26, 2006
J.W. COLE FINANCIAL, INC.
April 30, 2003 - September 15, 2005
USALLIANZ SECURITIES, INC.
October 15, 2002 - April 28, 2003
LOCUST STREET SECURITIES, INC.
July 27, 1999 - October 15, 2002
LIFEMARK SECURITIES CORP.
August 10, 1992 - July 8, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 10, 1992 - July 8, 1999
EQUITABLE ADVISORS, LLC
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
Current Firm
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
