James D. Turner
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 Douglas Turner, who also goes by Doug Turner, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1979. James had worked at 12 firms and has passed the Series 65, Series 63, 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
January 27, 2010 - November 16, 2012
FFEC WEALTH PARTNERS LLC
January 13, 2010 - November 16, 2012
FFEC WEALTH PARTNERS LLC
October 5, 2009 - January 22, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - January 22, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
July 7, 2006 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
September 6, 2005 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
March 19, 1992 - September 26, 2005
A. G. EDWARDS & SONS, INC.
July 24, 1991 - December 31, 1991
FINANCIAL WEST GROUP
March 30, 1990 - May 28, 1991
ZIONS DIRECT, INC.
January 19, 1988 - December 5, 1989
LEHMAN BROTHERS INC.
May 5, 1986 - January 14, 1988
MASON, HUNT & CO., INC.
November 23, 1981 - May 17, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 29, 1980 - November 11, 1981
BOETTCHER & COMPANY, INC.
January 31, 1980 - September 4, 1980
UBS FINANCIAL SERVICES INC.
December 4, 1979 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
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
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
