James F. Urfer
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 Frederick Urfer was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 9 firms and has passed the Series 63, Series 5, Series 1, Series 53 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
March 20, 2000 - January 3, 2005
STONE & YOUNGBERG LLC
July 21, 1999 - March 15, 2000
LEGG MASON WOOD WALKER, INCORPORATED
April 1, 1996 - July 20, 1999
U.S. BANCORP ADVISORS, LLC
March 7, 1994 - April 1, 1996
BANCAL INVESTMENT SERVICES, INC.
March 8, 1993 - February 24, 1994
REDWOOD SECURITIES GROUP, INC.
June 13, 1990 - February 20, 1993
PACIFIC COMMONWEALTH CORPORATION
August 1, 1988 - October 27, 1988
MIDLAND MONTAGU SECURITIES INC.
February 15, 1983 - January 30, 1988
MANN, URFER INC.
October 27, 1969 - December 21, 1982
GOLDMAN SACHS & CO. 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
Series 5
Date: 10/12/1981
Interest Rate Options ExaminationSeries 1
Date: 6/20/1966
Registered Representative ExaminationCurrent Firm
STONE & YOUNGBERG LLC
CRD#: 795 / SEC#: 801-69883, 8-3149
Contact information
Disclosures
| Regulatory Event | 9 |
| Arbitration | 2 |
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.
