James D. Recer
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 Daniel Recer II, who also goes by James D Recer, Jim Recer, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 4 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
April 17, 2017 - October 30, 2017
WOODROCK SECURITIES, L.P.
May 16, 2013 - September 14, 2016
BBVA SECURITIES INC.
August 31, 2005 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
August 22, 2002 - October 8, 2003
BANC OF AMERICA SECURITIES LLC
January 1, 1999 - April 23, 2001
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WOODROCK SECURITIES, L.P.
CRD#: 133653 / SEC#: , 8-66753
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
