James A. Clarke
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 Anthony Clarke, who also goes by Tony Clarke, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2006. James had worked at 5 firms and has passed the Series 66, SIE 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
October 4, 2012 - December 14, 2017
PAYCHEX SECURITIES CORPORATION
July 20, 2010 - September 28, 2011
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
August 29, 2007 - January 11, 2010
TRANSAMERICA CAPITAL, LLC
November 24, 2006 - July 24, 2007
CHARLES SCHWAB & CO., INC.
January 18, 2006 - July 27, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
January 18, 2006 - July 27, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
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
PAYCHEX SECURITIES CORPORATION
CRD#: 39733 / SEC#: , 8-48942
Contact information
FINRA licenses (51 States and Territories)
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.
