James W. Magner
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 William Magner was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1973. James had worked at 6 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 1987 - September 10, 1990
MLB INVESTMENTS, LTD.
September 24, 1984 - March 10, 1987
MALONE & ASSOCIATES, INC.
July 14, 1982 - August 28, 1984
ENGLER-BUDD & COMPANY INC.
March 9, 1981 - July 15, 1982
RICHEY, FRANKEL & COMPANY
August 17, 1977 - March 20, 1981
NTB FINANCIAL CORPORATION
March 19, 1975 - October 29, 1977
ENGLER-BUDD & COMPANY INC.
March 13, 1973 - June 21, 1975
INSTITUTIONAL SECURITIES OF COLORADO, 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 1
Date: 3/9/1973
Registered Representative ExaminationCurrent Firm
MLB INVESTMENTS, LTD.
CRD#: 18280 / SEC#: , 8-36384
Contact information
Documents
Red Flags
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