James L. Finefrock
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 Lewis Finefrock was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1980. James had worked at 2 firms and has passed the Series 63, Series 22TO, Series 99TO, SIE, Series 7, Series 14 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
January 14, 2003 - May 11, 2021
JAMES L. FINEFROCK AND ASSOCIATES CORP.
February 12, 1985 - July 9, 2021
JAMES L. FINEFROCK AND ASSOCIATES CORP.
October 24, 1980 - January 28, 1985
FIRST COLUMBIA CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
JAMES L. FINEFROCK AND ASSOCIATES CORP.
CRD#: 16079 / SEC#: , 8-33242
Contact information
Red Flags
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