James B. Markoski
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 Bernard Markoski was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 5 firms and has passed the Series 63, SIE, PC 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
April 13, 2012 - September 29, 2015
FOREST SECURITIES,INC.
June 22, 2010 - April 23, 2012
BIRKELBACH INVESTMENT SECURITIES, INC.
September 13, 1991 - June 21, 2010
SANCTUARY SECURITIES, INC.
September 26, 1978 - February 27, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 2, 1971 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 12/1/1971
Registered Representative ExaminationCurrent Firm
FOREST SECURITIES,INC.
CRD#: 16255 / SEC#: , 8-33568
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIVE TRIBAL ALLIANCE, LLC | SOLE SHAREHOLDER | |
| DUNNE, MICHAEL FITZGERALD | PRESIDENT/COO/FINOP/CCO | 1676474 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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