James A. Dvorznak
Professional summary
James Anthony Dvorznak was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, James had worked at 7 firms, which includes VISION SECURITIES INC., GUNNALLEN FINANCIAL INC, CONTINENTAL BROKER-DEALER CORP., HARRISON SECURITIES INC., WHITEHALL WELLINGTON INVESTMENTS INC., FIRST MONTAUK SECURITIES CORP., LADENBURG CAPITAL MANAGEMENT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2004 - April 21, 2004
VISION SECURITIES INC.
October 9, 2003 - February 9, 2004
GUNNALLEN FINANCIAL, INC
March 15, 2002 - October 16, 2003
CONTINENTAL BROKER-DEALER CORP.
January 2, 2001 - April 1, 2002
HARRISON SECURITIES, INC.
December 7, 1998 - December 31, 2000
WHITEHALL WELLINGTON INVESTMENTS, INC.
January 28, 1998 - December 11, 1998
FIRST MONTAUK SECURITIES CORP.
May 16, 1997 - January 28, 1998
LADENBURG CAPITAL MANAGEMENT INC.
State Registrations and Notice Filings
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Exams
Current Firm
VISION SECURITIES INC.
CRD#: 35001 / SEC#: , 8-46500
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 3 |
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