James R. Tario
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 Richard Tario was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1998. James had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 62 and Series 6 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, 2009 - June 23, 2015
QUESTAR ASSET MANAGEMENT, INC.
August 18, 2009 - June 23, 2015
QUESTAR CAPITAL CORPORATION
May 2, 2006 - August 19, 2009
MUTUAL SERVICE CORPORATION
April 28, 2006 - August 19, 2009
MUTUAL SERVICE CORPORATION
January 14, 1998 - April 28, 2006
SECURIAN FINANCIAL SERVICES, INC.
January 7, 1998 - April 28, 2006
SECURIAN FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 3/29/2000
Corporate Securities Limited Representative ExaminationCurrent Firm
QUESTAR ASSET MANAGEMENT, INC.
CRD#: 133358 / SEC#: 801-63747
Contact information
Red Flags
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