James M. Stilwell
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 Michael Stilwell, who also goes by Mike Stilwell, was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1970. James had worked at 13 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 22, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2005 - July 12, 2005
1717 CAPITAL MANAGEMENT COMPANY
March 21, 2005 - July 12, 2005
1717 CAPITAL MANAGEMENT COMPANY
September 17, 2003 - March 4, 2004
LEGACY FINANCIAL SERVICES, INC.
May 30, 2000 - June 5, 2002
WADDELL & REED
July 24, 1998 - March 6, 2000
CONSECO EQUITY SALES, INC.
July 8, 1997 - May 14, 1998
INVESCO CAPITAL MARKETS, INC.
August 7, 1995 - October 10, 1995
MARCUM CAPITAL RESOURCES, INC.
June 11, 1990 - October 17, 1991
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
June 5, 1987 - November 13, 1989
THOMSON MCKINNON SECURITIES INC.
May 1, 1985 - June 25, 1987
VCG SECURITIES, INC.
September 29, 1982 - July 15, 1985
RICHCO SECURITIES, INC.
September 21, 1982 - December 23, 1982
SHANNON SECURITIES, INC.
November 16, 1976 - October 28, 1981
COLUMBUS CAPITAL CORP.
September 22, 1970 - February 21, 1974
ALVARADO SECURITIES CORPORATION
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: 8/15/1970
Registered Representative ExaminationSeries 40
Date: 11/9/1976
Registered Principal ExaminationCurrent Firm
1717 CAPITAL MANAGEMENT COMPANY
CRD#: 4082 / SEC#: , 8-14657
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Bond | 3 |
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.
