James W. Darden
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 Walter Darden III, who also goes by James Walter Darden, was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1978. James had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 1 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
August 19, 2009 - March 15, 2010
INTEGRITY FINANCIAL MANAGEMENT
September 4, 2008 - December 31, 2008
INTEGRITY FINANCIAL MANAGEMENT
January 4, 1999 - April 26, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 25, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
October 30, 1996 - May 16, 2007
INTEGRITY FINANCIAL MANAGEMENT
August 13, 1996 - September 15, 1998
SUNAMERICA SECURITIES, INC.
October 27, 1992 - July 26, 1996
WALNUT STREET SECURITIES, INC.
September 21, 1989 - November 9, 1992
UBS FINANCIAL SERVICES INC.
July 12, 1988 - October 14, 1989
PRUDENTIAL EQUITY GROUP, LLC
August 2, 1985 - June 28, 1988
A. G. EDWARDS & SONS, INC.
February 15, 1978 - September 10, 1982
MUNICICORP OF CALIFORNIA
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: 2/9/1978
Registered Representative ExaminationCurrent firm
No current employment
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.
