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JS

James R. Sickler

Some features on this profile are disabled
CRD#: 2656670
JS

Professional summary

James Raymond Sickler was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, James had worked at 2 firms, which includes NATIONAL CLEARING CORP., H.J. MEYERS & CO. INC..

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Question & Answer

Are you a "fiduciary"?
No

Aliases

Jr Sickler

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 21, 1997 - December 8, 1998

NATIONAL CLEARING CORP.

BD
CRD#: 14343
SHERMAN OAKS, CA
Past

September 28, 1995 - October 19, 1995

H.J. MEYERS & CO., INC.

BD
CRD#: 15609
ROCHESTER, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/2/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/27/1995
General Securities Representative Examination

Current Firm

NC
NATIONAL CLEARING CORP.
J.B. OXFORD & COMPANY | NATIONAL CLEARING CORP. | MOUNTAIN FINANCIAL, INC.

CRD#: 14343 / SEC#: , 8-30593

BD
Terminated by SEC on 04/29/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
Utah since 08/23/1983
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JB OXFORD HOLDINGS, INC.DIRECT OWNER
CHIODO, MICHAEL JDIRECTOR & CFO2097132
FISCHER, BARRY STEVENDIRECTOR, PRESIDENT, CEO & GENERAL COUNSEL3134841

Disclosures

Regulatory Event19
Civil Event1
Arbitration37

Red Flags

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Company Information

NATIONAL CLEARING CORP.

CRD#: 14343

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