James P. Porter
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 Patrick Porter, who also goes by Jim Porter, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 10 firms and has passed the Series 65, Series 63, SIE 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
February 18, 2013 - July 6, 2016
QUEST CAPITAL STRATEGIES, INC.
February 4, 2013 - July 6, 2016
QUEST CAPITAL STRATEGIES, INC.
March 3, 2009 - February 9, 2011
OSAIC FS, INC.
January 2, 2009 - February 9, 2011
OSAIC FS, INC.
June 9, 2008 - October 30, 2008
INVESTMENT ADVISORS CORP
April 28, 2008 - October 30, 2008
BROKER DEALER FINANCIAL SERVICES CORP.
January 7, 2008 - April 29, 2008
GROVE POINT INVESTMENTS, LLC
May 17, 2004 - January 7, 2008
QUEST CAPITAL STRATEGIES, INC.
October 4, 2001 - May 31, 2002
QUASAR DISTRIBUTORS, LLC
January 12, 2000 - October 4, 2001
FIRST FUND DISTRIBUTORS, INC.
April 7, 1995 - July 16, 1999
ALLFIRST BROKERAGE CORPORATION
March 16, 1994 - January 25, 1995
IDS LIFE INSURANCE COMPANY
March 16, 1994 - January 25, 1995
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
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
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