James B. Rader
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 Barry Rader was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 6 firms and has passed the Series 63, Series 7 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
September 12, 2002 - December 31, 2002
FINANCIAL ASSET MANAGEMENT, INC.
July 26, 2001 - July 3, 2002
PRUDENTIAL EQUITY GROUP, LLC
July 12, 1989 - July 20, 2001
FINANCIAL ASSET MANAGEMENT, INC.
June 8, 1988 - June 29, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
February 15, 1988 - July 6, 1988
LEHMAN BROTHERS INC.
February 7, 1986 - February 15, 1988
E. F. HUTTON & COMPANY INC
May 18, 1981 - February 26, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
FINANCIAL ASSET MANAGEMENT, INC.
CRD#: 18514 / SEC#: , 8-36802
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
