James E. Carrel
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 Carrel was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 4 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 1993 - December 31, 1994
IFG NETWORK SECURITIES, INC.
July 1, 1982 - April 2, 1985
WS GRIFFITH SECURITIES, INC.
December 5, 1981 - December 31, 1992
PLANNED INVESTMENTS INC.
November 6, 1974 - April 2, 1985
HOME LIFE INSURANCE COMPANY
July 21, 1971 - December 18, 1977
PLANNED INVESTMENTS 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 1
Date: 7/15/1971
Registered Representative ExaminationCurrent Firm
IFG NETWORK SECURITIES, INC.
CRD#: 19948 / SEC#: , 8-37937
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESTORS FINANCIAL PLANNING, INC. | HOLDING COMPANY | |
| DUNSTAN, RICHARD VAUGHAN | VICE PRESIDENT/SECRETARY/CROP | 1632092 |
| DUNSTAN, RICHARD VAUGHAN | MUNICIPAL PRINCIPAL | 1632092 |
| HARRISON, BRETT LAMAR | COO, SENIOR VICE PRESIDENT | 4032238 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| MCEVOY, PATRICK HENRY | PRESIDENT, CEO | 1796543 |
| RESSLER, SANDER JAMES | CCO | 1455553 |
| STEWART, EVERETT PAUL JR | VICE PRESIDENT/TREASURER/FINOP | 2025188 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 4 |
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.
