James R. Kee
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 Robert Kee was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2002. James had worked at 3 firms and has passed the Series 66 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
December 1, 2009 - September 24, 2019
SOUTH TEXAS MONEY MANAGEMENT, LTD.
September 9, 2003 - December 31, 2008
CREDIT SUISSE SECURITIES (USA) LLC
February 5, 2002 - December 31, 2008
CREDIT SUISSE SECURITIES (USA) LLC
January 3, 2002 - February 7, 2002
HVA BROKERAGE SERVICES LLC
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
Current Firm
SOUTH TEXAS MONEY MANAGEMENT, LTD.
CRD#: 112188 / SEC#: 801-58167
Contact information
Red Flags
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