James M. Clous
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 M Clous 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 63, SIE, 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
July 27, 2006 - November 15, 2018
FIRST ASSET FINANCIAL INC.
August 4, 2004 - July 27, 2006
IRON STREET SECURITIES INC.
October 3, 2002 - May 7, 2004
WADDELL & REED
July 23, 2001 - August 1, 2002
IRON STREET SECURITIES INC.
State Registrations and Notice Filings
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Exams
Current Firm
FIRST ASSET FINANCIAL INC.
CRD#: 139107 / SEC#: , 8-67191
Contact information
FINRA licenses (20 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
