James Depelisi
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 Depelisi, who also goes by Jim Depelisi, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 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
June 12, 2009 - June 24, 2015
ASG SECURITIES, INC.
September 22, 2006 - August 8, 2008
WASSERMAN & ASSOCIATES, INC.
April 20, 2006 - December 31, 2023
LDV CAPITAL MANAGEMENT, INC.
July 25, 2002 - February 13, 2006
INDEPENDENT SECURITIES INVESTORS CORPORATION
April 6, 2001 - January 28, 2002
FARRAND INVESTMENT BANKERS
January 25, 1999 - November 8, 1999
LH ROSS & COMPANY, INC.
December 19, 1996 - January 29, 1997
THE AGEAN GROUP, INC
September 21, 1994 - November 29, 1994
PARAGON CAPITAL MARKETS, INC.
May 26, 1994 - September 21, 1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
August 12, 1993 - June 14, 1994
J. GREGORY & COMPANY, INC.
July 19, 1993 - August 11, 1993
CHATFIELD DEAN & CO., INC.
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
ASG SECURITIES, INC.
CRD#: 44534 / SEC#: , 8-50730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FUGLER, MICHAEL ROY | VICE CHAIRMAN | 2947789 |
| VP PERFORMANCE TRUST | SHAREHOLDER | |
| CANTRELL, WILLIAM KEY | EVP CCO | 811596 |
| DEPELISI, JAMES | EVP COO | 2339793 |
| FISCHER, KAREN ZILLIA | FIN OP | 1708090 |
| LDV CONSULTING, INC. | SHAREHOLDER | |
| ROBINSON, WILLIAM CARL | TRUSTEE, VPPT | |
| SCILLIA, MICHAEL VINCENT | DIRECTOR, CHAIRMAN, FINRA EXECUTIVE REPRESENTATIVE | 416774 |
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.
