James V. Kresl
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 Vincent Kresl was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1976. James had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 28, 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
October 25, 1993 - May 26, 2015
FIRST ILLINOIS SECURITIES INC.
January 22, 1980 - December 31, 1993
LASALLE ST SECURITIES, L.L.C.
November 22, 1977 - November 16, 1978
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
April 1, 1976 - November 17, 1976
LAMSON BROS. & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 28
Date: 2/7/1994
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
FIRST ILLINOIS SECURITIES INC.
CRD#: 19067 / SEC#: , 8-37152
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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