Michael I. Jams
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.
Michael Ivar Jams was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2006. Michael had worked at 3 firms and has passed the Series 63, SIE, Series 37 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
April 26, 2019 - May 3, 2021
IA SECURITIES (USA) INC.
September 12, 2014 - December 19, 2017
CANTOR FITZGERALD & CO.
January 17, 2006 - October 16, 2013
VERSANT PARTNERS USA, 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
Series 37
Date: 8/19/2005
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
IA SECURITIES (USA) INC.
CRD#: 135721 / SEC#: , 8-66944
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDUSTRIAL ALLIANCE INSURANCE AND FINANCIAL SERVICES INC | OWNER | |
| SMITH, MICHAEL ROTHWELL | CEO, DIRECTOR & CHIEF COMPLIANCE OFFICER | 5417569 |
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.
