James E. Pokorny
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 Edward Pokorny was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1998. James had worked at 8 firms and has passed the Series 65, 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
August 28, 2015 - November 17, 2017
ABACUS INVESTMENTS, INC.
January 3, 2011 - August 11, 2015
CETERA WEALTH SERVICES, LLC
April 13, 2009 - December 15, 2010
PACKERLAND BROKERAGE SERVICES, INC.
December 1, 2006 - April 17, 2009
QUESTAR CAPITAL CORPORATION
September 2, 2004 - December 1, 2006
USALLIANZ SECURITIES, INC.
May 1, 2002 - September 1, 2004
ABACUS INVESTMENTS, INC.
May 18, 2000 - January 30, 2002
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 8, 1999 - May 22, 2000
COORDINATED CAPITAL SECURITIES, INC.
October 29, 1998 - July 9, 1999
VOYA FINANCIAL ADVISORS, 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
ABACUS INVESTMENTS, INC.
CRD#: 35127 / SEC#: , 8-46571
Contact information
FINRA licenses (16 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONEY CONCEPTS INTERNATIONAL, INC. | OWNER | |
| HOHENSEE, FREDERICK EARL | PRESIDENT - CHIEF COMPLIANCE OFFICER | 1431948 |
Red Flags
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