James M. Kardelis
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 Michael Kardelis, who also goes by James M Kardelis, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1998. James had worked at 5 firms and has passed the Series 63, Series 65, Series 6, SIE and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2021 - January 3, 2025
VESTECH ASSET MANAGEMENT INC.
September 18, 2019 - January 3, 2025
VESTECH SECURITIES, INC.
January 22, 2004 - April 25, 2011
ALLSTATE FINANCIAL SERVICES, LLC
March 26, 2001 - July 11, 2002
DASH FINANCIAL TECHNOLOGIES LLC
October 29, 1998 - September 20, 1999
PLATO FOUFAS INVESTMENTS, 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
Series 28
Date: 10/8/1998
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
VESTECH ASSET MANAGEMENT INC.
CRD#: 285685 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 270 |
| AUM (Assets Under Management) | $ 100,032,281 |
Red Flags
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