James R. Dreiling
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 Robert Dreiling was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 7 firms and has passed the Series 63, Series 3, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 1987 - September 27, 1988
B. J. LEONARD AND COMPANY, INC.
August 23, 1984 - July 29, 1987
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
September 16, 1977 - May 8, 1981
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
June 6, 1974 - February 27, 1976
BACHE & CO., INCORPORATED
March 19, 1973 - June 9, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
October 21, 1971 - February 19, 1973
BACHE & CO., 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: 10/13/1971
Registered Representative ExaminationCurrent Firm
B. J. LEONARD AND COMPANY, INC.
CRD#: 62 / SEC#: , 8-10710
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
