James D. Dack
Professional summary
James David Dack is a registered financial professional currently at SP SECURITIES LLC located in Houston, Texas.
James is registered as a RR (Registered Representative) and started their career in finance in 2005. James has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James David Dack's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 9, 2017 - Present
SP SECURITIES LLC
Office #1: 1800 Augusta Drive Suite 312, Houston, TX 77057March 5, 2010 - December 19, 2016
STERN BROTHERS & CO.
July 25, 2005 - September 4, 2007
SEATTLE-NORTHWEST SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/9/2017)
(2/9/2017)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
SP SECURITIES LLC
CRD#: 130560 / SEC#: , 8-66360
Contact information
FINRA licenses (15 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAGE PARTNERS LTD. | SOLE MEMBER | |
| BINET, TODD M. | MANAGER, REGISTERED PRINCIPAL | |
| MILLER, DAVID SUTTON | MANAGER, REGISTERED PRINCIPAL | 2097046 |
| MORIN, PETER B. | MANAGER, REGISTERED PRINCIPAL | |
| WALTON, H. STEVEN | MANAGER, REGISTERED PRINCIPAL | |
| WILSON, WILLIAM HOWARD JR | MANAGER, REGISTERED PRINCIPAL, AML PRINCIPAL | |
| WILSON, WILLIAM HOWARD JR | DESIGNATED PRINCIPAL, FINOP, CHIEF COMPLIANCE OFFICER | 1430161 |
Disclosures
| Regulatory Event | 1 |
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