James L. Dailey
Professional summary
James Louis Dailey was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, James had worked at 5 firms, which includes TEAM FINANCIAL ASSET MANAGEMENT LLC, TEAM FINANCIAL MANAGERS, OSAIC FS INC., GOLDK INVESTMENT SERVICES INC, GUARANTY BROKERAGE SERVICES INC..
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2009 - December 13, 2013
TEAM FINANCIAL ASSET MANAGEMENT, LLC
October 23, 2000 - December 31, 2013
TEAM FINANCIAL MANAGERS
October 11, 1999 - December 31, 2009
OSAIC FS, INC.
October 20, 1998 - January 21, 1999
GOLDK INVESTMENT SERVICES, INC
September 9, 1998 - September 22, 1999
GUARANTY BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
TEAM FINANCIAL ASSET MANAGEMENT, LLC
CRD#: 151561 / SEC#: 801-70590
Contact information
Documents
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