James W. Turner
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 Winslow Turner was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 13 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2004 - April 8, 2008
RICHAVE FINANCIAL, INC.
January 2, 2004 - December 17, 2004
GOLDEN BENEFICIAL SECURITIES CORPORATION
August 14, 2002 - December 31, 2003
NT SECURITIES LLC
March 22, 2002 - August 29, 2002
RUSHMORE SECURITIES CORPORATION
December 18, 2000 - June 1, 2001
INTREPID SECURITIES, INC.
July 7, 1997 - August 29, 2000
PROVIDENTIAL SECURITIES, INC.
July 3, 1996 - May 19, 1997
DAEHAN SECURITIES, INC.
December 2, 1993 - June 26, 1996
ROTH CAPITAL PARTNERS, LLC
November 11, 1988 - October 29, 1993
A. G. EDWARDS & SONS, INC.
October 29, 1984 - November 3, 1988
CITIGROUP GLOBAL MARKETS INC.
January 31, 1980 - December 7, 1984
UBS FINANCIAL SERVICES INC.
April 20, 1978 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
November 12, 1970 - May 10, 1978
CROWELL, WEEDON & CO.
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
PC
Date: 6/28/1977
AMEX Put and Call ExamSeries 1
Date: 3/28/1960
Registered Representative ExaminationCurrent Firm
RICHAVE FINANCIAL, INC.
CRD#: 36782 / SEC#: , 8-47404
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HSU, FRANK | CHAIRMAN AND SECRETARY | |
| LAM, SUNNY | TREASURER | 4579990 |
| HOLLYWOOD FINANCIAL GROUP, INC. | PASSIVE SHAREHOLDER | |
| LUI, ALAN SHIHGAR | PRESIDENT/FINOP | 1931449 |
| LUI, ALAN SHIHGAR | COMPLIANCE REGISTERED OPTIONS | |
| LUI, ALAN SHIHGAR | CHIEF COMPLIANCE OFFICER | |
| LUI, ALAN SHIHGAR | SENIOR REGISTERED OPTIONS PRINCIPAL |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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