AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JK

James E. Kjorlien

Some features on this profile are disabled
CRD#: 846144
JK

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 Edward Kjorlien was a registered financial advisor .

James is a previously registered financial advisor and started their career in finance in 1977. James had worked at 6 firms and has passed the Series 63, Series 5, Series 7, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 13, 2009 - July 9, 2014

ISI CAPITAL, LLC

BD
CRD#: 46869
STAMFORD, CT
Past

March 10, 1992 - October 15, 2004

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
STAMFORD, CT
Past

March 3, 1992 - October 15, 2004

CRT CAPITAL GROUP LLC

RIA
CRD#: 28830
STAMFORD, CT
Past

August 22, 1990 - April 3, 1992

ACCESS SECURITIES, LLC

BD
CRD#: 22455
NEW CANAAN, CT
Past

May 26, 1987 - February 12, 1990

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

October 1, 1981 - March 20, 1987

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
Past

December 5, 1977 - October 21, 1981

SALOMON BROTHERS INC.

BD
CRD#: 740

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/15/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 5
Date: 6/15/1982
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/1977
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/7/2011
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/31/1993
Financial and Operations Principal Examination

Current Firm

IC
ISI CAPITAL, LLC
EMCG, LLC | ISI CAPITAL, LLC

CRD#: 46869 / SEC#: , 8-51565

BD
Terminated by SEC on 09/07/2014
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
New York since 07/30/1998
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FRAKER, MARK RICHARDSONPRESIDENT/MANAGING MEMBER, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER,MUNICIPAL SEC.PRINCIPAL, AML COMPLIANCEOFFICER1728954
GREENE, MICHAEL CHARLESFINOP4418374

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.

Company Information

ISI CAPITAL, LLC

CRD#: 46869

TRUST BUT VERIFY

Monitor James Kjorlien

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics