James D. Danis
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 Donald Danis, who also goes by Jim Danis, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 5 firms and has passed the Series 63, SIE, Series 38 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
July 21, 2009 - January 2, 2023
VENTUM FINANCIAL (US) CORP.
April 2, 2009 - June 22, 2009
OCTAGON AMERICA LIMITED
July 11, 2002 - March 17, 2008
DESJARDINS SECURITIES INTERNATIONAL INC.
January 29, 1999 - April 24, 2002
HSBC SECURITIES (USA) INC.
January 4, 1999 - January 26, 1999
HSBC SECURITIES (USA) INC.
March 21, 1997 - January 12, 1999
GORDON CAPITAL 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
Series 38
Date: 3/12/1997
Canada Module of the General Securities Registered Representative (Without Options Questions)Current Firm
VENTUM FINANCIAL (US) CORP.
CRD#: 127404 / SEC#: , 8-65995
Contact information
FINRA licenses (21 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
