James M. Coleman
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 Michael Coleman was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2011. James had worked at 4 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2014 - March 28, 2014
FORESTERS ADVISORY SERVICES, LLC
January 17, 2014 - March 28, 2014
FORESTERS FINANCIAL SERVICES, INC.
January 10, 2013 - October 17, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 6, 2012 - October 17, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 27, 2011 - January 6, 2012
WORLD GROUP SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
FORESTERS ADVISORY SERVICES, LLC
CRD#: 164663 / SEC#: 801-76877
Contact information
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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