James W. Coulter
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 William Coulter was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1968. James had worked at 5 firms and has passed the 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
November 16, 1984 - June 27, 1985
ASSOCIATED SECURITIES CORP.
April 18, 1978 - February 22, 1983
AMERICAN INVESTORS COMPANY
November 12, 1975 - May 8, 1980
LPL FINANCIAL LLC
July 27, 1972 - November 25, 1974
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
November 8, 1968 - May 24, 1972
MITCHUM JONE & TEMPLETON INCORPORATED
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: 10/28/1968
Registered Representative ExaminationSeries 40
Date: 4/19/1976
Registered Principal ExaminationCurrent Firm
ASSOCIATED SECURITIES CORP.
CRD#: 12969 / SEC#: , 8-28568
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSOCIATED FINANCIAL GROUP, INC. | HOLDING COMPANY | |
| BROWN, STEPHANIE LEIGH | DIRECTOR | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER | 1821773 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VALTAIRO, PHILLIP BUHAY | VICE PRESIDENT AND CFO, AFFILIATED BROKER-DEALER CONTROLLER | 4481362 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 7 |
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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