James E. Poole
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 Eugene Poole JR, who also goes by Jim Poole, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 6 firms and has passed the Series 65, Series 66, Series 63, Series 6, Series 22 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2015 - March 28, 2016
JAMES E. POOLE FINANCIAL, LLC
August 5, 2014 - December 22, 2014
GRANTHAM POOLE ADVISORS, LLC
April 26, 2001 - August 15, 2003
HIMCO DISTRIBUTION SERVICES COMPANY
July 11, 2000 - August 19, 2003
ACCOUNTANTS FINANCIAL ALLANCE LLC
March 29, 1990 - November 5, 1991
PROGRESSIVE CAPITAL SECURITIES CORPORATION
January 17, 1989 - March 26, 1990
AVANTAX INVESTMENT SERVICES, 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 40
Date: 2/1/1979
Registered Principal ExaminationCurrent Firm
JAMES E. POOLE FINANCIAL, LLC
CRD#: 174820 / SEC#:
Contact information
Red Flags
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