James E. Brainard
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 Edwin Brainard, who also goes by Jim Brainard, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1967. James had worked at 5 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 1997 - March 31, 2003
QUEST SECURITIES, INC.
October 3, 1978 - April 30, 1997
FOOTHILL SECURITIES, INC.
October 4, 1973 - August 10, 1978
INVESTOGENIC SERVICES, INC.
January 11, 1972 - November 14, 1973
VANGUARD SECURITIES, INC.
July 17, 1967 - February 14, 1972
PORTSMOUTH SQUARE EQUITY CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 7/13/1967
Registered Representative ExaminationCurrent Firm
QUEST SECURITIES, INC.
CRD#: 6828 / SEC#: , 8-18273
Contact information
Red Flags
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