James T. Barker
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 Thomas Barker, who also goes by Jamie Barker, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 16 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 1, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2015 - May 2, 2016
TELSEY ADVISORY GROUP LLC
May 17, 2010 - November 17, 2015
MAXIM GROUP LLC
June 15, 2009 - March 23, 2010
CANACCORD GENUITY SECURITIES LLC
December 12, 2007 - June 15, 2009
COWEN PRIME SERVICES TRADING LLC
September 20, 2007 - December 11, 2007
ATLANTIC EQUITIES, LLC
December 6, 2004 - August 31, 2007
THINKEQUITY LLC
October 6, 2004 - January 5, 2005
EQUUS FINANCIAL CONSULTING LLC
June 11, 2004 - November 9, 2004
PROVIDENT INTERNATIONAL SECURITIES, INC.
December 11, 2003 - May 10, 2004
BSI BROKERAGE, INC.
April 11, 2002 - September 15, 2003
BLAYLOCK & COMPANY, INC.
February 26, 2001 - November 13, 2001
COMMERZ MARKETS LLC
September 15, 1999 - February 26, 2001
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.
July 30, 1998 - September 14, 1999
CREDIT AGRICOLE SECURITIES (USA) INC.
March 3, 1987 - January 13, 1998
DEUTSCHE BANK SECURITIES INC.
June 20, 1983 - February 18, 1987
E. F. HUTTON & COMPANY INC
August 27, 1981 - June 1, 1983
LEHMAN BROTHERS 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
Series 55
Date: 1/4/2008
Limited Representative-Equity Trader ExamSeries 1
Date: 8/4/1978
Registered Representative ExaminationSeries 8
Date: 4/7/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TELSEY ADVISORY GROUP LLC
CRD#: 148234 / SEC#: , 8-67988
Contact information
FINRA licenses (19 States and Territories)
Documents
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.
