James A. Haller
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 Allen Haller, who also goes by Jim Haller, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1998. James had worked at 4 firms and has passed the Series 65, Series 63, Series 31 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
April 17, 2006 - November 28, 2006
INTEGRITY BROKERAGE, LLC
April 17, 2006 - December 31, 2012
INTEGRITY BROKERAGE, LLC
November 2, 2004 - May 3, 2006
E*TRADE SECURITIES LLC
October 21, 2002 - November 4, 2004
INTEGRITY BROKERAGE, LLC
November 16, 2000 - October 23, 2002
TRADEWAY SECURITIES GROUP, INC.
October 26, 1998 - November 20, 2000
MORGAN STANLEY DW 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
INTEGRITY BROKERAGE, LLC
CRD#: 117589 / SEC#: , 8-53604
Contact information
FINRA licenses (11 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
