James J. Vernale
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 Joseph Vernale, who also goes by James J Vernale, Jim Joseph Vernale, Jim Vernale, Jimmy Vernale, 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 65, Series 63, SIE, Series 31, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2014 - December 15, 2017
WORLD CHOICE SECURITIES, INC.
May 23, 2012 - March 16, 2017
VELOCITY PARTNERS
October 23, 2009 - March 9, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - March 9, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 13, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 11, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 24, 2005 - March 15, 2007
CHARLES SCHWAB & CO., INC.
October 24, 2005 - March 15, 2007
CHARLES SCHWAB & CO., INC.
January 12, 2000 - November 21, 2005
STRATEGIC ADVISERS LLC
February 5, 1998 - November 21, 2005
FIDELITY BROKERAGE SERVICES LLC
July 21, 1995 - January 26, 1998
CHARLES SCHWAB & CO., INC.
April 11, 1995 - May 12, 1995
QUICK & REILLY, INC.
April 6, 1994 - April 21, 1995
MORGAN STANLEY DW INC.
December 7, 1992 - March 10, 1993
PRUCO SECURITIES, 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
Series 8
Date: 9/11/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WORLD CHOICE SECURITIES, INC.
CRD#: 30933 / SEC#: , 8-45235
Contact information
FINRA licenses (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 45 |
| AUM (Assets Under Management) | $ 24,955,000 |
Disclosures
| Regulatory Event | 2 |
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.
