James M. Sarkauskas
Professional summary
James Michael Sarkauskas SR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial advisor and started their career in finance in 1973. Prior to being barred, James had worked at 9 firms, which includes WESTERN INTERNATIONAL SECURITIES INC., SARKAUSKAS & ASSOCIATES INC, FIRST ALLIED SECURITIES INC., D.E. FREY & COMPANY INC., WELLS FARGO CLEARING SERVICES LLC, BLUNT ELLIS & LOEWI INCORPORATED, AMERICAN EXPRESS FINANCIAL CORPORATION, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2009 - December 31, 2011
WESTERN INTERNATIONAL SECURITIES, INC.
July 26, 2007 - July 26, 2007
WESTERN INTERNATIONAL SECURITIES, INC.
January 10, 2006 - December 31, 2011
WESTERN INTERNATIONAL SECURITIES, INC.
January 31, 2005 - December 3, 2013
SARKAUSKAS & ASSOCIATES INC
September 29, 2000 - January 13, 2006
FIRST ALLIED SECURITIES, INC.
May 19, 1995 - December 31, 2004
SARKAUSKAS & ASSOCIATES INC
February 28, 1994 - October 25, 2000
D.E. FREY & COMPANY, INC.
September 4, 1990 - February 8, 1994
WELLS FARGO CLEARING SERVICES, LLC
July 20, 1978 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
July 5, 1973 - September 6, 1978
AMERICAN EXPRESS FINANCIAL CORPORATION
July 5, 1973 - September 6, 1978
AMERIPRISE FINANCIAL SERVICES, LLC
July 5, 1973 - September 6, 1978
IDS LIFE INSURANCE COMPANY
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: 6/30/1973
Registered Representative ExaminationSeries 8
Date: 2/6/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
