James M. Artman
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 Mathew Artman was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2016 - October 27, 2016
QUESTAR CAPITAL CORPORATION
November 16, 2011 - December 31, 2015
THE O.N. EQUITY SALES COMPANY
June 15, 2010 - September 20, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 7, 2008 - May 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
January 20, 2006 - March 17, 2008
WADDELL & REED
March 18, 2004 - January 12, 2006
NATCITY INVESTMENTS, INC.
October 25, 2001 - December 31, 2003
NEW ENGLAND SECURITIES
July 14, 2000 - October 15, 2001
IDS LIFE INSURANCE COMPANY
July 14, 2000 - October 15, 2001
AMERIPRISE FINANCIAL SERVICES, 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
Current Firm
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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