James Frank Karfes
Professional Summary
James Frank Karfes was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1994 - 2006. James had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
MID-OHIO SECURITIES CORP
Contact Information
Established
Ohio since 11/15/1973Firm Type
CorporationFiscal Year End
DecemberDocuments
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
11Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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