James F. Karfes
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 Frank Karfes was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 7 firms and has passed the Series 65, Series 63 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
May 30, 2003 - June 15, 2006
MID-OHIO SECURITIES CORP
February 1, 2001 - December 31, 2002
PRIMESOLUTIONS SECURITIES, INC.
November 17, 1998 - December 31, 2000
NEXT ADVISORS INC.
July 28, 1998 - August 21, 1998
NEXT ADVISORS INC.
February 7, 1996 - September 27, 1996
LOCUST STREET SECURITIES, INC.
April 14, 1994 - August 31, 1995
UBS FINANCIAL SERVICES INC.
January 7, 1994 - March 28, 1994
IDS LIFE INSURANCE COMPANY
January 7, 1994 - March 28, 1994
AMERIPRISE FINANCIAL SERVICES, 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
Current Firm
MID-OHIO SECURITIES CORP
CRD#: 6634 / SEC#: , 8-17918
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DESICH, RICHARD | STOCKHOLDER | 66145 |
| JOHN SPITZER TRUST, J. ALAN SPITZER TRUSTEE | STOCKHOLDER | |
| SPITZER A TEAM LIMITED PARTNERSHIP | STOCKHOLDER | |
| DESICH, JEFFREY ALAN | VICE-PRESIDENT / DIRECTOR / STOCKHOLDER | 2771522 |
| DESICH, RICHARD ANTHONY JR | PRESIDENT/ DIRECTOR / STOCKHOLDER | 2634014 |
| GIBEL, LEONARD JAMES | DIRECTOR | 219934 |
| ONK, JEREMY PATRICK | CHIEF COMPLIANCE OFFICER | 4070958 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 1 |
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.
