James E. Aitken
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 Aitken was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1978. James had worked at 14 firms and has passed the Series 5 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
September 5, 2012 - February 13, 2013
SEIDEL & CO., LLC
October 6, 2005 - August 23, 2012
WOLFE & HURST BOND BROKERS INC.
June 10, 2005 - September 28, 2005
SEABOARD SECURITIES, INC.
May 10, 2004 - April 27, 2005
BERNARD, RICHARDS SECURITIES, INC.
October 29, 2001 - May 15, 2002
R. SEELAUS & CO., LLC
December 6, 1994 - September 21, 2001
MESIROW FINANCIAL, INC.
October 28, 1991 - December 22, 1994
HOWE BARNES HOEFER & ARNETT, INC.
April 30, 1991 - October 11, 1991
INTESA SANPAOLO IMI SECURITIES CORP.
July 25, 1990 - April 30, 1991
MABON, NUGENT & CO.
September 27, 1988 - June 22, 1990
TUCKER ANTHONY INCORPORATED
August 11, 1987 - October 5, 1988
PRESCOTT, BALL & TURBEN, INC.
May 14, 1982 - July 22, 1987
MOSELEY SECURITIES CORPORATION
September 26, 1978 - May 26, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 5
Date: 12/12/1981
Interest Rate Options ExaminationCurrent Firm
SEIDEL & CO., LLC
CRD#: 42821 / SEC#: , 8-50016
Contact information
Documents
Disclosures
| Regulatory Event | 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.
