James Chmielowicz
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 Chmielowicz was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1975. James had worked at 4 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 15, 1992 - November 22, 1995
VESTAX SECURITIES CORPORATION
May 16, 1986 - December 31, 1990
WOODBURY FINANCIAL SERVICES, INC.
October 20, 1980 - May 14, 1984
EQUITABLE ADVISORS, LLC
June 2, 1975 - May 14, 1984
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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: 5/19/1975
Registered Representative ExaminationCurrent Firm
VESTAX SECURITIES CORPORATION
CRD#: 10332 / SEC#: , 8-27024
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VESTAX CAPITAL CORPORATION | SOLE SHAREHOLDER | |
| DUNSTAN, RICHARD VAUGHAN | MUNICIPAL PRINCIPAL | 1632092 |
| DUNSTAN, RICHARD VAUGHAN | SROP/CROP | 1632092 |
| HARRISON, BRETT LAMAR | COO, SENIOR VICE PRESIDENT | 4032238 |
| MCEVOY, PATRICK HENRY | PRESIDENT, CEO | 1796543 |
| RESSLER, SANDER JAMES | CCO | 1455553 |
| STEWART, EVERETT PAUL JR | CFO | 2025188 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
Red Flags
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