James M. Sondell
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 Milton Sondell was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 15 firms and has passed the Series 63, Series 7 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
August 31, 2011 - March 1, 2012
FELTL & COMPANY
October 3, 2008 - September 27, 2011
MELVIN SECURITIES, L.L.C.
February 2, 2006 - October 1, 2008
SBK-BROOKS INVESTMENT CORP.
February 26, 1999 - January 30, 2006
LOOP CAPITAL MARKETS LLC
October 21, 1996 - January 14, 1998
WILLIAM BLAIR
November 11, 1994 - August 13, 1998
ABN AMRO INCORPORATED
May 27, 1992 - December 31, 1994
ESSEX NATIONAL SECURITIES, LLC
August 13, 1991 - November 28, 1994
LASALLE FINANCIAL SERVICES, INC.
April 27, 1987 - July 10, 1990
J.P. MORGAN SECURITIES LLC
August 11, 1986 - May 29, 1987
LEHMAN BROTHERS INC.
September 5, 1984 - July 8, 1986
PRESCOTT, BALL & TURBEN, INC.
July 13, 1978 - October 11, 1984
BECKER PARIBAS INCORPORATED
September 9, 1975 - July 13, 1978
A. G. BECKER MUNICIPAL SECURITIES INCORPORATED
November 7, 1973 - September 1, 1975
MILLER & SCHROEDER SECURITIES, INC.
May 17, 1971 - December 1, 1973
M. B. VICK ASSOCIATES
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: 5/12/1971
Registered Representative ExaminationCurrent Firm
FELTL & COMPANY
CRD#: 6905 / SEC#: 801-68779, 8-18435
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
