James I. Perry
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 I Perry was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2009. James had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2016 - January 15, 2019
STRATCAP SECURITIES, LLC
July 15, 2014 - March 31, 2015
CPS FINANCIAL & INSURANCE SERVICES, INC.
February 5, 2014 - April 17, 2014
TRANSAMERICA CAPITAL, LLC
February 18, 2009 - January 27, 2014
METLIFE INVESTORS DISTRIBUTION COMPANY
State Registrations and Notice Filings
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Exams
Current Firm
STRATCAP SECURITIES, LLC
CRD#: 151152 / SEC#: , 8-68338
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
