James K. Ducker
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 Keith Ducker, who also goes by Keith Ducker, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 14, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2005 - November 12, 2024
TORA TRADING SERVICES, LLC
April 12, 2004 - March 31, 2005
B. RILEY SECURITIES, INC.
October 24, 2000 - April 14, 2004
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TORA TRADING SERVICES, LLC
CRD#: 135423 / SEC#: , 8-66925
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
