Jim A. Turley
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.
Jim Allen Turley, who also goes by Jim A Turley, was a registered financial professional .
Jim is a previously registered financial professional and started their career in finance in 1965. Jim had worked at 11 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 1993 - July 31, 1995
GRF CAPITAL INVESTORS, INC.
March 6, 1991 - August 29, 1991
PROSPERA FINANCIAL SERVICES, INC.
January 8, 1990 - April 24, 1990
LONDON ZURICH SECURITIES, INC.
June 15, 1988 - December 13, 1989
PAS, INC.
September 18, 1987 - June 28, 1988
FITZGERALD, DEARMAN & ROBERTS, INC.
February 2, 1987 - September 23, 1987
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 25, 1986 - January 8, 1987
CITIGROUP GLOBAL MARKETS INC.
August 22, 1986 - September 17, 1986
FIRST AFFILIATED SECURITIES, INC.
February 8, 1983 - April 16, 1986
FIRST AFFILIATED SECURITIES, INC.
April 9, 1980 - April 16, 1986
PAS, INC.
January 31, 1980 - June 5, 1980
UBS FINANCIAL SERVICES INC.
April 11, 1978 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
November 1, 1965 - July 9, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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: 10/29/1965
Registered Representative ExaminationCurrent Firm
GRF CAPITAL INVESTORS, INC.
CRD#: 24971 / SEC#: , 8-41494
Contact information
FINRA licenses (4 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HEINRICH, MARK WEST | PRESIDENT, CHIEF COMPLIANCE OFFICER, FINOP, CFO, | 2459057 |
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.
