James O. Handloser
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 Owen Handloser was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2005. James had worked at 6 firms and has passed the Series 63 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
February 20, 2013 - May 22, 2013
WFG INVESTMENTS, INC.
May 16, 2011 - December 20, 2012
SIMMONS FIRST INVESTMENT GROUP, INC.
July 14, 2010 - April 12, 2011
GLOBAL HUNTER SECURITIES, LLC
April 21, 2008 - July 12, 2010
BOK FINANCIAL SECURITIES, INC.
December 18, 2006 - February 11, 2008
MORGAN KEEGAN & COMPANY, LLC
September 8, 2005 - May 19, 2006
CREWS & ASSOCIATES, 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
Current Firm
WFG INVESTMENTS, INC.
CRD#: 22704 / SEC#: , 8-39928
Contact information
Documents
Disclosures
| Regulatory Event | 23 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
