James L. Weiland
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 Weiland, who also goes by Jim Weiland, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 5 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
March 26, 1986 - May 1, 1990
PRO-FINANCIAL SECURITIES, INC.
January 28, 1985 - March 10, 1986
CETERA ADVISORS LLC
November 1, 1984 - February 19, 1985
WOODBURY FINANCIAL SERVICES, INC.
October 31, 1983 - October 29, 1984
E. F. HUTTON & COMPANY INC
June 23, 1981 - November 17, 1983
MORGAN STANLEY DW 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
PRO-FINANCIAL SECURITIES, INC.
CRD#: 14885 / SEC#: , 8-31357
Contact information
Documents
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.
