James M. Fortune
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 Michael Fortune was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 4 firms and has passed the Series 63, Series 7, Series 1, Series 27, Series 4 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
August 7, 1986 - July 23, 1987
FORTUNE & COMPANY
August 6, 1985 - August 13, 1986
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
November 29, 1984 - August 22, 1985
TAMARON INVESTMENTS, INC.
April 9, 1983 - December 6, 1984
RICHEY, FRANKEL & COMPANY
April 13, 1982 - May 10, 1983
ANCHOR NATIONAL FINANCIAL SERVICES, 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
Series 1
Date: 2/28/1975
Registered Representative ExaminationCurrent Firm
FORTUNE & COMPANY
CRD#: 17885 / SEC#: , 8-35883
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.
