James A. Koetting
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 Anthony Koetting JR, who also goes by Jim Koetting, Jimmy Koetting, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2012 - December 31, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 10, 2009 - August 10, 2012
PFI STRATEGIES
September 27, 2007 - December 11, 2008
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 12, 2006 - December 31, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 20, 2006 - December 13, 2006
OBSIDIAN FINANCIAL GROUP, LLC
March 7, 2006 - July 12, 2006
AMERIFINANCIAL
January 22, 2003 - February 22, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 18, 2002 - January 23, 2003
VOYA FINANCIAL ADVISORS, INC.
February 26, 1997 - January 23, 2003
VOYA FINANCIAL ADVISORS, 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
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 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 | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
Red Flags
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.
