James K. Wang
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 K Wang was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2018 - December 2, 2019
E-W INVESTMENTS, INC.
July 8, 2005 - December 22, 2016
AVANTAX INVESTMENT SERVICES, INC.
October 21, 2003 - June 8, 2005
CETERA WEALTH SERVICES, LLC
February 6, 2002 - September 19, 2003
CORE PACIFIC SECURITIES USA LLC
August 2, 2001 - December 31, 2001
NATIONAL SECURITIES CORPORATION
July 23, 1999 - April 23, 2001
SIGNATOR INVESTORS, INC.
April 7, 1999 - July 14, 1999
U. S. PACIFIC FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
E-W INVESTMENTS, INC.
CRD#: 17463 / SEC#: , 8-35259
Contact information
Disclosures
| Regulatory Event | 2 |
Red Flags
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