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JC

James J. Chica

Some features on this profile are disabled
CRD#: 45677
JC

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 John Chica was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1967. James had worked at 10 firms and has passed the Series 63, Series 7, Series 1 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 13, 2009 - July 26, 2012

FELTL & COMPANY

BD
CRD#: 6905
PLYMOUTH, MN
Past

April 11, 2007 - September 2, 2008

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
MINNEAPOLIS, MN
Past

January 6, 1989 - December 7, 2006

MILLER JOHNSON STEICHEN KINNARD, INC.

BD
CRD#: 694
MINNEAPOLIS, MN
Past

February 1, 1988 - January 26, 1989

OBERWEIS SECURITIES, INC.

BD
CRD#: 7739
Past

July 6, 1977 - February 1, 1988

ENGLER-BUDD & COMPANY INC.

BD
CRD#: 1743
Past

April 15, 1974 - November 30, 1974

MIDWEST DISCOUNT SECURITIES, INC.

BD
CRD#: 6226
Past

December 7, 1973 - March 28, 1974

OPTIMA INCORPORATED

BD
CRD#: 1000008
Past

April 5, 1973 - April 17, 1974

WESTERN FUNDING, INC.

BD
CRD#: 4243
Past

March 9, 1972 - March 2, 1973

FIRST MINNEAPOLIS INVESTMENT CORP.

BD
CRD#: 5283
Past

August 25, 1967 - February 26, 1973

TEIG ROSS, INC.

BD
CRD#: 3568

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/4/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/21/1977
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 7/24/1962
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 00
Date: 8/1/1967
General Securities Principal Examination

Current Firm

F&
FELTL & COMPANY
FELTL & COMPANY | MCALMONT INVESTMENT COMPANY | FELTL AND COMPANY | FELTL ADVISORS

CRD#: 6905 / SEC#: 801-68779, 8-18435

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
One Carlson Parkway North Suite 225, Plymouth, MN 55447
Mailing Address
One Carlson Parkway North Suite 225, Plymouth, MN 55447
Phone number
(612) 492-8800
Established
Minnesota since 02/27/1975
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (3/30/2012)
WRAP PROGRAM (3/30/2012)

Direct owners and executive officers

NamePositionCRD#
FELTL, JOHN CHRISTOPHERCEO, TRUSTEE JCF TRUST2366353
JCF TRUSTSHAREHOLDER
EDWARDS, MITCHELL JAYCOO, CORP SECRETARY4127796
FELTL, MARY JOANNEPRESIDENT2055810
RIGAZIO, DAVID ALANCFO7083498
VAN KREVELEN, DIRK GARRETCHIEF COMPLIANCE OFFICER1289150

Disclosures

Regulatory Event11
Arbitration2

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.

Company Information

FELTL & COMPANY

CRD#: 6905

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