James F. Draskovits
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 Frank Draskovits, who also goes by James Drasko, Jim Draskovits, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1976. James had worked at 9 firms and has passed the Series 65, Series 63, SIE, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2015 - June 25, 2015
WADDELL & REED
March 27, 2015 - June 25, 2015
WADDELL & REED
August 1, 2006 - December 31, 2014
HARBOUR INVESTMENTS, INC.
January 4, 1999 - July 25, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 8, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
August 24, 1988 - April 1, 1998
A. G. EDWARDS & SONS, INC.
June 29, 1981 - August 31, 1988
PRUDENTIAL EQUITY GROUP, LLC
January 31, 1980 - July 10, 1981
UBS FINANCIAL SERVICES INC.
August 14, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
April 1, 1976 - July 5, 1979
RONEY & CO. L.L.C.
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
PC
Date: 8/22/1977
AMEX Put and Call ExamCurrent Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
