James W. Dreos
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 William Dreos, who also goes by Jim Dreos, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1974. James had worked at 9 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2002 - March 25, 2003
FOX & COMPANY INVESTMENTS INC.
November 8, 2001 - September 16, 2002
AMERICAN GENERAL SECURITIES INCORPORATED
March 19, 2001 - November 8, 2001
OSAIC FS, INC.
February 22, 2000 - March 29, 2001
HERITAGE WEST SECURITIES, INC.
October 12, 1998 - March 21, 2000
AMERICAN GENERAL SECURITIES INCORPORATED
November 13, 1995 - November 14, 1997
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 14, 1992 - November 14, 1995
AMERICAN GENERAL SECURITIES INCORPORATED
April 3, 1991 - January 7, 1992
TITAN/VALUE EQUITIES GROUP, INC.
February 1, 1988 - April 3, 1989
JOHN HANCOCK DISTRIBUTORS LLC
September 30, 1975 - August 25, 1987
PRINCIPAL SECURITIES, INC.
November 1, 1974 - September 22, 1975
THE O.N. EQUITY SALES COMPANY
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: 10/26/1974
Registered Representative ExaminationCurrent Firm
FOX & COMPANY INVESTMENTS INC.
CRD#: 18517 / SEC#: , 8-37061
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
Red Flags
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