James S. Neble
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 Slayton Neble, who also goes by James Slayton Nebel, James S Neble, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 18 firms and has passed the Series 63, Series 18, Series 1, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 1995 - June 17, 1997
QUAKER SECURITIES, INC.
September 30, 1994 - June 9, 1995
PRIME EXECUTIONS, INC.
April 19, 1994 - July 25, 1994
JANNEY MONTGOMERY SCOTT LLC
April 28, 1989 - September 12, 1989
W.H. NEWBOLD'S SON & CO., INC.
August 22, 1987 - December 11, 1987
SCOTIA CAPITAL (USA) INC.
November 3, 1986 - August 31, 1987
LOVETT MITCHELL WEBB & GARRISON, INC.
May 27, 1986 - October 28, 1986
HAYNE, MILLER FINANCIAL, INC.
July 15, 1985 - May 5, 1986
RAUSCHER PIERCE REFSNES, INC.
August 13, 1984 - July 9, 1985
PERSHING LLC
October 26, 1977 - May 15, 1981
JOHN MUIR & CO.
August 24, 1977 - July 26, 1978
ROSS, STEBBINS INC.
July 26, 1976 - July 14, 1979
NEBLE & LAWRENCE, INC.
March 14, 1975 - July 14, 1976
NEWHARD, COOK & CO. INCORPORATED
September 3, 1974 - March 13, 1975
WHITNEY GOADBY, INC.
April 27, 1973 - September 2, 1974
JAS. H. OLIPHANT & CO., INC.
May 8, 1972 - May 25, 1973
STERN, FRANK, MEYER & FOX, INCORPORATED
July 9, 1971 - June 3, 1972
H HEMTZ & CO INC
June 18, 1970 - August 8, 1971
BIRR, WILSON & CO., 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 18
Date: 9/15/1984
Securities Industry Rules and Regulations ExaminationSeries 1
Date: 4/1/1966
Registered Representative ExaminationF04
Date: 5/13/1976
Financial Principal ExaminationSeries 40
Date: 5/6/1976
Registered Principal ExaminationCurrent Firm
QUAKER SECURITIES, INC.
CRD#: 27263 / SEC#: , 8-42976
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITCO QUAKER HOLDINGS, INC. (SUBSIDIARY OF CITCO CORPORATE SERVICES, INC.) | SHAREHOLDER | |
| GALLAGHER, STEPHEN FRANCIS | CHIEF FINANCIAL OFFICER/FINANCIAL OPERATIONS PRINCIPAL | 1827736 |
| LUKAN, JOHN ANTHONY | PRESIDENT, CEO, CCO AND DIRECTOR | 3142448 |
| O'CONNELL, EDWARD JAMES | SENIOR REGISTERED OPTIONS PRINCIPAL | 1934620 |
| STEVEN JOHN PROWSE | DIRECTOR |
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.
