Mark S. James
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.
Mark Snyder James was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1976. Mark had worked at 5 firms and has passed the Series 63, SIE, 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
May 14, 2004 - December 31, 2018
JAMES FINANCIAL SERVICES
April 3, 1985 - June 12, 2018
INVESTACORP, INC.
March 11, 1985 - April 2, 1985
INVESTACORP, INC.
February 24, 1978 - March 15, 1985
MORGAN STANLEY DW INC.
February 1, 1977 - February 24, 1978
REYNOLDS SECURITIES, INC.
March 1, 1976 - March 10, 1977
BACHE HALSEY STUART 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
JAMES FINANCIAL SERVICES
CRD#: 117354 / SEC#:
Contact information
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.
