James K. Yager
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 Kenneth Yager was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1966. James had worked at 6 firms and has passed the Series 65, Series 63, PC, Series 5 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
February 16, 1994 - May 13, 2003
NATIONAL SECURITIES CORPORATION
September 9, 1986 - February 3, 1994
WEDBUSH SECURITIES INC.
February 20, 1985 - September 10, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
February 24, 1978 - February 14, 1985
MORGAN STANLEY DW INC.
November 1, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
August 16, 1966 - September 15, 1972
MFB SECURITIES, INC
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: 3/18/1985
AMEX Put and Call ExamSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 1
Date: 10/25/1973
Registered Representative ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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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