James D. Whitten
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 Draghi Whitten was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1965. James had worked at 6 firms and has passed the Series 63, Series 1, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2004 - December 18, 2008
LAIDLAW & COMPANY (UK) LTD.
November 9, 2001 - November 4, 2004
SANDS BROTHERS & CO., LTD.
April 21, 1986 - November 26, 2001
BLUESTONE CAPITAL CORP.
February 11, 1974 - April 15, 1986
A. G. EDWARDS & SONS, INC.
July 2, 1973 - March 28, 1974
DUPONT WALSTON, INCORPORATED
May 14, 1965 - July 2, 1973
DUPONT GLORE FORGAN INCORPORATED
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: 5/12/1965
Registered Representative ExaminationSeries 8
Date: 12/12/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LAIDLAW & COMPANY (UK) LTD.
CRD#: 119037 / SEC#: , 8-53731
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
