James K. Larson
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 Keith Larson II, who also goes by II James Keith Larson, Jim Larson, 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, Series 31, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2014 - March 26, 2020
SOUTHBRIDGE
June 26, 2013 - April 7, 2014
THE MUTUAL FUND STORE
January 4, 2012 - April 7, 2014
THE MUTUAL FUND STORE
July 21, 2008 - December 2, 2011
INVESTACORP, INC.
December 9, 2005 - July 2, 2008
FIRST ALLIED SECURITIES, INC.
May 3, 2005 - December 12, 2005
COMMONWEALTH FINANCIAL NETWORK
May 2, 2005 - December 12, 2005
COMMONWEALTH FINANCIAL NETWORK
March 5, 2003 - May 12, 2005
LEGG MASON WOOD WALKER, INCORPORATED
October 31, 2002 - May 12, 2005
LEGG MASON WOOD WALKER, INCORPORATED
August 17, 2000 - March 1, 2002
A. G. EDWARDS & SONS, INC.
October 15, 1993 - August 18, 2000
VOYA FINANCIAL PARTNERS, LLC
December 23, 1992 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
State Registrations and Notice Filings
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Exams
Current Firm
SOUTHBRIDGE
CRD#: 119040 / SEC#: 801-77550
Contact information
Documents
Red Flags
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