Kenneth W. James
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.
Kenneth Wheeler James, who also goes by Kenneth Jay Hoffman, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1981. Kenneth had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1999 - November 2, 2016
GREENWOOD INVESTMENT MANAGEMENT, INC.
January 2, 1991 - November 22, 1991
EDI FINANCIAL, INC.
February 13, 1984 - December 31, 1988
CETERA ADVISORS LLC
February 23, 1981 - March 9, 1982
AMERICAN WESTERN SECURITIES, INC.
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
GREENWOOD INVESTMENT MANAGEMENT, INC.
CRD#: 112761 / SEC#: 801-64135
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
