James P. Vigotty
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 P Vigotty, who also goes by James Patrick VIgotty, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 9 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 14, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2012 - December 31, 2012
SOURCE CAPITAL GROUP, INC.
July 10, 2008 - January 1, 2010
UBS INTERNATIONAL INC.
June 9, 2008 - July 6, 2010
UBS FINANCIAL SERVICES INC.
February 1, 2005 - May 2, 2007
APEX CLEARING CORPORATION
February 11, 2003 - January 25, 2005
KABRIK TRADING LLC
May 2, 2000 - July 7, 2000
TRADE.COM ONLINE SECURITIES, INC.
February 28, 1995 - December 3, 1999
BULL & BEAR SECURITIES, INC.
June 13, 1994 - February 15, 1995
MIDAS SECURITIES GROUP, INC.
June 30, 1993 - May 16, 1994
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
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