James P. Jung
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 Paul Jung was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1972. James had worked at 7 firms and has passed the Series 63, 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
June 4, 1993 - April 23, 1998
SECO WEST LIMITED
April 14, 1981 - June 7, 1993
KIDDER, PEABODY & CO. INCORPORATED
May 17, 1978 - July 7, 1981
L. F. ROTHSCHILD & CO. INCORPORATED
June 3, 1975 - June 9, 1978
E. F. HUTTON & COMPANY INC
September 30, 1974 - July 7, 1975
HUGH JOHNSON & COMPANY INC.
September 13, 1973 - November 4, 1974
KIDDER, PEABODY & CO., INCORPORATED
April 11, 1972 - December 10, 1973
DOMIK CORP.
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: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 4/6/1972
Registered Representative ExaminationCurrent Firm
SECO WEST LIMITED
CRD#: 7637 / SEC#: , 8-22770
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECOR, WILLIAM ERNEST | PRESIDENT,TREASURER AND SOLE DIRECTOR | 417773 |
| BONVISSUTO, DIANE PATRICIA | VICE PRESIDENT | |
| GOLDNER, BRADFORD STEPHEN | VICE PRESIDENT - INSURANCE |
Disclosures
| Arbitration | 1 |
Red Flags
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