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JP

James D. Pike

SENTRY EQUITY SERVICES
STEVENS POINT, WI 54481
Some features on this profile are disabled
CRD#: 4356086
JP

Professional summary

James David Pike, who also goes by Jim Pike, Jimmy David Pike, is a registered financial professional currently at SENTRY EQUITY SERVICES, INC. located in Stevens Point, Wisconsin.

James is registered as a RR (Registered Representative) and started their career in finance in 2001. James has worked at 9 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Pike | Jimmy David Pike

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James David Pike's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 29, 2021 - Present

SENTRY EQUITY SERVICES, INC.

Office #1: 1800 North Point Drive, Stevens Point, WI 54481
BD
CRD#: 5069
STEVENS POINT, WI
Past

January 2, 2013 - June 20, 2013

MML DISTRIBUTORS, LLC

BD
CRD#: 38030
SPRINGFIELD, MA
Past

August 1, 2011 - January 2, 2013

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

BD
CRD#: 37819
HARTFORD, CT
Past

January 18, 2007 - July 7, 2011

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
NOVI, MI
Past

June 2, 2006 - November 15, 2006

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
FARMINGTON HILLS, MI
Past

June 2, 2006 - November 15, 2006

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
FARMINGTON HILLS, MI
Past

February 19, 2004 - June 5, 2006

SPC

RIA
CRD#: 110692
CLARKSTON, MI
Past

February 19, 2004 - June 2, 2006

SIGMA FINANCIAL CORPORATION

BD
CRD#: 14303
NOVI, MI
Past

September 26, 2002 - December 16, 2003

BANC ONE SECURITIES CORPORATION

RIA
CRD#: 16999
LIVONIA, MI
Past

September 26, 2002 - December 16, 2003

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

April 16, 2001 - September 4, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(2/12/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 2/12/2021
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 6/18/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/29/2021
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/30/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 5/18/2001
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/12/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SE
SENTRY EQUITY SERVICES, INC.
SENTRY EQUITY SERVICES, INC.

CRD#: 5069 / SEC#: , 8-15078

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
1800 North Point Drive, Stevens Point, WI 54481
Mailing Address
1800 North Point Drive, Stevens Point, WI 54481
Phone number
(715) 346-6000
Established
Delaware since 05/09/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SENTRY INSURANCE A MUTUAL COSHAREHOLDER
DANCZYK, CARLA MARIECHIEF COMPLIANCE OFFICER4711455
GWIDT, PAUL MATTHEWTREASURER6777031
HYLAND, JOHNPRESIDENT7741049
KOVAC, TIMOTHY KENNETHSECRETARY7622917
MCPARTLAND, PETER GEORGEDIRECTOR/CHAIRMAN OF THE BOARD6109531
NIMM, SEANDIRECTOR7978565

Disclosures

Regulatory Event2

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.

Company Information

SENTRY EQUITY SERVICES, INC.

CRD#: 5069Stevens Point, WI 54481

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