James E. Vitolo
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 Ernest Vitolo, who also goes by Jimmy VItolo, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2017 - August 29, 2018
PHX FINANCIAL, INC.
November 26, 2013 - February 5, 2016
AEGIS CAPITAL CORP.
November 25, 2009 - December 3, 2013
ROCKWELL SECURITIES LLC
January 23, 2009 - December 21, 2009
WOODSTOCK FINANCIAL GROUP, INC.
February 20, 2008 - January 30, 2009
GUNNALLEN FINANCIAL, INC
October 28, 2005 - February 25, 2008
J.P. TURNER & COMPANY, L.L.C.
November 23, 2004 - October 6, 2005
ANDREW GARRETT INC.
April 23, 2004 - December 17, 2004
LH ROSS & COMPANY, INC.
January 10, 2001 - April 26, 2004
HARRISON SECURITIES, INC.
October 26, 1998 - March 13, 2001
MORGAN, TAYLOR & ASSOCIATES, INC.
September 24, 1997 - October 22, 1998
NATIONAL SECURITIES CORPORATION
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
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Red Flags
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