James Slayton Neble
Professional Summary
James Slayton Neble, who also goes by James Slayton Nebel, James S Neble, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1970 - 1997. James had worked at 18 firms and has passed the Series 63, Series 18, Series 1, F04 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Slayton Nebel, James S Neble
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
60 years in the financial services industry
Current & Past Employments
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Current Firm
QUAKER SECURITIES, INC.
Contact Information
Established
Pennsylvania since 06/29/1990Firm Type
CorporationFiscal Year End
DecemberDocuments
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
1Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 18 — Securities Industry Rules and Regulations Examination
Passed Sep 1984Series 1 — Registered Representative Examination
Passed Apr 1966F04 — Financial Principal Examination
Passed May 1976Series 40 — Registered Principal Examination
Passed May 1976Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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