James V. Harley
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 Victor Harley III, who also goes by James V Harley, Jim Harley III, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 16 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2011 - November 5, 2015
R.M. STARK & CO., INC.
January 26, 2009 - November 16, 2009
J.P. TURNER & COMPANY, L.L.C.
September 18, 2007 - February 6, 2008
AMERICAN CAPITAL PARTNERS, LLC
July 11, 2007 - October 12, 2007
GUNNALLEN FINANCIAL, INC
October 27, 2006 - July 30, 2007
BROOKVILLE CAPITAL PARTNERS
August 30, 2006 - October 31, 2006
WORLD EQUITY GROUP, INC.
August 8, 2005 - August 28, 2006
WESTROCK ADVISORS, INC.
June 27, 2003 - August 3, 2005
GUNNALLEN FINANCIAL, INC
September 26, 2002 - July 21, 2003
HARRISON SECURITIES, INC.
August 7, 2001 - October 3, 2002
BENSON YORK GROUP, INC.
November 16, 2000 - August 17, 2001
GLENN MICHAEL FINANCIAL, INC.
October 3, 2000 - December 18, 2000
CANTELLA & CO., INC.
August 31, 2000 - September 27, 2000
FIRST SECURITY INVESTMENTS, INC.
June 13, 2000 - October 2, 2000
S.W. BACH & COMPANY
October 22, 1999 - June 12, 2000
VANGUARD CAPITAL
April 14, 1999 - August 26, 1999
MILESTONE GROUP MANAGEMENT LLC
February 24, 1999 - April 16, 1999
MORGAN WILSHIRE SECURITIES, INC.
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
Current Firm
R.M. STARK & CO., INC.
CRD#: 7612 / SEC#: , 8-22543
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
