James M. Davis
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 Davis SR, who also goes by James Michael Davis, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 7 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 1989 - September 12, 1995
MARINER FINANCIAL SERVICES, INC.
May 21, 1985 - October 4, 1989
LANDMARK FINANCIAL MANAGEMENT CORPORATION
April 6, 1983 - November 9, 2021
CAPITAL PLANNING CONSULTANTS, LLC
March 9, 1982 - May 20, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
July 30, 1981 - March 15, 1982
MARK SECURITIES, INC.
June 30, 1976 - July 14, 1981
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 28, 1970 - November 18, 1976
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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: 1/22/1970
Registered Representative ExaminationCurrent Firm
MARINER FINANCIAL SERVICES, INC.
CRD#: 8292 / SEC#: , 8-25216
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
