James N. Passias
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 Nicholas Passias was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1998. James had worked at 4 firms and has passed the Series 63, Series 7, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2004 - December 15, 2004
BANCSHAREHOLDERS OF AMERICA INC.
January 24, 2003 - December 31, 2003
BANCSHAREHOLDERS OF AMERICA INC.
November 6, 2002 - August 24, 2004
BANCSHARES FIRST
October 20, 2000 - November 19, 2002
UBS FINANCIAL SERVICES INC.
April 28, 1998 - October 30, 2000
EDWARD JONES
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
Series 28
Date: 8/11/2003
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent firm
No current employment
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.
