James F. Mcnatt
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 Franklin Mcnatt was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1980. James had worked at 7 firms and has passed the Series 66, Series 63, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2012 - April 16, 2013
PURSHE KAPLAN STERLING INVESTMENTS
August 10, 2012 - April 17, 2013
CONCERT WEALTH MANAGEMENT
April 28, 2011 - August 13, 2012
BROKERSXPRESS LLC
March 2, 2011 - August 13, 2012
BROKERSXPRESS LLC
February 27, 2002 - May 15, 2003
INCAP SECURITIES, INC.
November 13, 2000 - October 22, 2001
LEGG MASON WOOD WALKER, INCORPORATED
April 23, 1984 - April 27, 1984
E. F. HUTTON & COMPANY INC
June 2, 1980 - September 22, 1992
ALEX. BROWN & SONS 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
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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