James T. Hurst
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 Trotter Hurst was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 11 firms and has passed the SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2014 - November 27, 2018
WHITEHALL-PARKER SECURITIES, INC.
January 9, 2008 - September 3, 2014
WEDBUSH SECURITIES INC.
August 21, 2002 - December 31, 2007
1ST DISCOUNT BROKERAGE, INC.
September 30, 1998 - August 21, 2002
ACUMENT SECURITIES, INC.
March 11, 1996 - September 16, 1998
GREAT CIRCLE FINANCIAL
January 3, 1989 - February 28, 1996
WEDBUSH SECURITIES INC.
August 20, 1986 - January 9, 1989
UBS FINANCIAL SERVICES INC.
January 31, 1982 - October 10, 1983
DAVIS, SKAGGS & CO., INC.
December 17, 1981 - August 21, 1986
LEHMAN BROTHERS INC.
January 27, 1976 - January 17, 1982
L. F. ROTHSCHILD & CO. INCORPORATED
April 15, 1971 - February 5, 1976
CITIGROUP GLOBAL MARKETS INC.
April 1, 1969 - July 5, 1972
BLYTH EASTMAN DILLON & CO. INCORPORATED
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
PC
Date: 5/18/1977
AMEX Put and Call ExamSeries 1
Date: 3/28/1969
Registered Representative ExaminationCurrent Firm
WHITEHALL-PARKER SECURITIES, INC.
CRD#: 10608 / SEC#: , 8-27688
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25 |
| AUM (Assets Under Management) | $ 20,000,000 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 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.
