James E. Park
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 Edward Park, who also goes by Jim Park, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 11 firms and has passed the SIE 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
November 28, 2001 - December 31, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 12, 2000 - December 31, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 31, 1999 - April 24, 2000
MUTUAL SERVICE CORPORATION
June 6, 1997 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
April 1, 1996 - September 6, 1996
U.S. BANCORP ADVISORS, LLC
January 23, 1995 - April 1, 1996
BANCAL INVESTMENT SERVICES, INC.
November 11, 1992 - February 7, 1995
NYLIFE SECURITIES LLC
June 18, 1989 - December 13, 1989
SUNAMERICA SECURITIES, INC.
October 27, 1986 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
June 20, 1985 - October 31, 1986
CONSECO FINANCIAL SERVICES, INC.
October 25, 1982 - October 23, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 25, 1982 - October 23, 1992
SIGNATOR INVESTORS, INC.
October 23, 1982 - July 29, 1985
NYLIFE SECURITIES LLC
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: 2/5/1973
Registered Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
