James Alexander
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 Alexander was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1965. James had worked at 4 firms and has passed the Series 55, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 1980 - January 10, 1983
WESTERN PACIFIC SECURITIES, INC.
May 4, 1979 - July 29, 2005
J. ALEXANDER SECURITIES, INC.
June 14, 1977 - March 28, 1979
DREXEL BURNHAM LAMBERT INCORPORATED
July 2, 1965 - August 16, 1977
STERN, FRANK, MEYER & FOX, INCORPORATED
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
Series 55
Date: 4/1/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 12/19/1961
Registered Representative ExaminationSeries 40
Date: 8/12/1977
Registered Principal ExaminationCurrent firm
No current employment
Red Flags
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