James J. Stigman
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 J. Stigman, who also goes by Jim Stigman, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2001. James had worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2004 - April 20, 2010
QA3 FINANCIAL CORP.
October 1, 2002 - October 5, 2004
AMERICAN GENERAL SECURITIES INCORPORATED
July 17, 2001 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
QA3 FINANCIAL CORP.
CRD#: 14754 / SEC#: , 8-31155
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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