James Anthony Koetting Jr
Professional Summary
James Anthony Koetting JR, who also goes by Jim Koetting, Jimmy Koetting, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1997 - 2014. James had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jim Koetting, Jimmy Koetting
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
CONCOURSE FINANCIAL GROUP ADVISORS | PROTECTIVE EQUITY SERVICES, INC. | PROEQUITIES, INC. | PROEQUITIES INC | INVESTMENT ADVISORS | CONCOURSE FINANCIAL GROUP SECURITIES, INC.
Contact Information
Main Address
2801 Highway 280 South, Birmingham, AL 35223Mailing Address
P.o. Box 518, Birmingham, AL 35201-0518Phone Number
(800) 288-3035Established
Alabama since 07/11/1984Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
885FINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | — |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory Assets Under Management
Total Number of Accounts
20,957AUM (Assets Under Management)
$4,373,015,542Disclosures
Regulatory Event
64Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 1997About the Series 6 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Aug 2003About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jul 2003About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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