James B. Lepley
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 Barris Lepley JR was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1974. James had worked at 5 firms and has passed the Series 7, Series 1 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
April 25, 1995 - July 19, 1995
SMITH BORKUM HARE INC
September 30, 1993 - June 27, 1995
SMITH NEW COURT, INC.
September 26, 1978 - January 26, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 1975 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
May 9, 1974 - January 15, 1975
G. H. WALKER, LAIRD INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 5/6/1974
Registered Representative ExaminationCurrent Firm
SMITH BORKUM HARE INC
CRD#: 38005 / SEC#: , 8-48027
Contact information
Documents
Red Flags
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