James H. Garner
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 Hendon Garner, who also goes by James Hendow Garner, Jim Garner, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 1 firm and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 1996 - July 30, 2001
DST SECURITIES, 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
DST SECURITIES, INC.
CRD#: 8129 / SEC#: , 8-24385
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DST SYSTEMS, INC. | SHAREHOLDER OF COMMON STOCK | |
| ONEAL, JOHN THOMAS | PRESIDENT | 716521 |
Disclosures
| Regulatory Event | 3 |
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.
