James K. Cullinan
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 Cullinan was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1962. James had worked at 9 firms and has passed the Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 1988 - November 13, 1996
DAIN RAUSCHER INCORPORATED
April 26, 1985 - October 17, 1988
THE MILWAUKEE COMPANY
January 25, 1984 - April 15, 1985
PRESCOTT, BALL & TURBEN, INC.
February 2, 1978 - January 25, 1984
BURTON J. VINCENT, CHESLEY & CO.
January 25, 1977 - February 21, 1978
AMERIPRISE ADVISOR SERVICES, INC.
August 27, 1975 - November 28, 1976
MF GLOBAL INC.
November 21, 1972 - October 8, 1975
LOEWI & CO., INCORPORATED
August 3, 1971 - December 17, 1972
A. G. EDWARDS & SONS, INC.
April 25, 1962 - September 16, 1971
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 1
Date: 4/25/1962
Registered Representative ExaminationSeries 40
Date: 7/17/1972
Registered Principal ExaminationCurrent Firm
DAIN RAUSCHER INCORPORATED
CRD#: 7600 / SEC#: , 8-3259
Contact information
Documents
Red Flags
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