Vincent James
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.
Vincent James, who also goes by James VIncent, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 2003. Vincent had worked at 6 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
March 2, 2010 - November 30, 2012
QUEST CAPITAL STRATEGIES, INC.
December 21, 2009 - November 30, 2012
QUEST CAPITAL STRATEGIES, INC.
June 27, 2007 - August 27, 2008
WORLD GROUP SECURITIES, INC.
April 17, 2006 - November 21, 2006
OBSIDIAN FINANCIAL GROUP, LLC
April 17, 2006 - November 21, 2006
OBSIDIAN FINANCIAL GROUP, LLC
April 1, 2004 - April 18, 2006
MSI FINANCIAL SERVICES, INC.
October 8, 2003 - April 18, 2006
METROPOLITAN LIFE INSURANCE COMPANY
October 8, 2003 - April 18, 2006
MSI FINANCIAL SERVICES, INC.
March 18, 2003 - August 7, 2003
EQUITABLE ADVISORS, 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
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
