James L. Adkisson
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 Lee Adkisson, who also goes by Jim Adkisson, 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 3 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
June 18, 1986 - November 29, 1986
NATIONAL SECURITIES CORPORATION
August 31, 1984 - June 11, 1986
FIRST UNION SECURITIES INC
June 14, 1984 - September 4, 1984
PAULSON INVESTMENT COMPANY LLC
March 29, 1983 - June 22, 1984
HINKLE & LAMEAR, INC.
April 12, 1982 - March 21, 1983
LEHMAN BROTHERS INC.
June 22, 1981 - March 25, 1982
BELFORD HAMMERBECK, 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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
