James W. Degenhardt
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 Watson Degenhardt, AIF® was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2013 - September 14, 2022
FLAHARTY ASSET MANAGEMENT, LLC
October 3, 2012 - November 2, 2015
LPL FINANCIAL LLC
August 3, 2012 - August 17, 2022
LPL FINANCIAL LLC
March 13, 2008 - August 30, 2012
WELLS FARGO CLEARING SERVICES, LLC
October 25, 2004 - April 13, 2006
NEUBERGER BERMAN BD LLC
March 10, 2003 - April 13, 2006
NEUBERGER BERMAN BD LLC
October 8, 1992 - June 23, 1994
FIRST UNION BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
FLAHARTY ASSET MANAGEMENT, LLC
CRD#: 168495 / SEC#: 801-78437
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
FLAHARTY ASSET MANAGEMENT, LLC
CRD#: 168495 / SEC#: 801-78437
Contact information
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,121 |
| AUM (Assets Under Management) | $ 809,577,048 |
Red Flags
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