James D. Hiza
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 David Hiza, who also goes by James D Hiza, Jim Hiza, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 8 firms and has passed the Series 63, Series 66, Series 65, SIE, Series 6, Series 31 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
January 10, 2018 - August 28, 2018
THE LEADERS GROUP, INC.
February 6, 2017 - September 8, 2017
W&S BROKERAGE SERVICES, INC.
August 12, 2011 - December 8, 2015
BREITLING ROYALTY FUNDS, LLC
August 11, 2010 - September 23, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
August 11, 2010 - September 23, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
August 31, 2006 - August 25, 2010
SII INVESTMENTS, INC.
July 25, 2006 - August 25, 2010
SII INVESTMENTS, INC.
October 30, 2001 - July 27, 2006
AMERIPRISE ADVISOR SERVICES, INC.
February 23, 1999 - January 24, 2000
CETERA WEALTH SERVICES, LLC
June 16, 1995 - December 15, 1997
MORGAN STANLEY DW INC.
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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