James L. Palm
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 Lynn Palm was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2016 - February 8, 2021
BCD ADVISORS
July 15, 2013 - December 27, 2016
INVESTMENTS FOR YOU, INC.
November 13, 2007 - July 12, 2013
FORTUNE FINANCIAL SERVICES, INC.
October 29, 1999 - August 27, 2007
WOODBURY FINANCIAL SERVICES, INC.
December 14, 1995 - October 28, 1999
HORANG SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BCD ADVISORS
CRD#: 169468 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 382 |
| AUM (Assets Under Management) | $ 44,134,300 |
Red Flags
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