James W. Whipps
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 William Whipps was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2001. James had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2009 - August 3, 2015
VESTORY, LLC
April 6, 2009 - December 31, 2016
COMPASS INVESTMENTS & ADVISING, LLC
August 7, 2002 - May 18, 2009
MERRIMAN, LLC
May 1, 2001 - June 24, 2002
EDWARD JONES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
VESTORY, LLC
CRD#: 151858 / SEC#: 801-96174
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
