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Last updated: February 15th, 2020. Data source: SEC filings, FINRA.
According to James's SEC and/or FINRA records, here is a summary of our findings. Note: Individuals must meet all the following regulatory requirements to be Trusted by investor.com. Learn more.
|< 3 Customer Disputes||Yes (0)|
|0 Terminations||Yes (0)|
|< 3 Financial Disclosures||Yes (0)|
|< 2 Judgement/Liens||Yes (0)|
|< 2 Regulatory Events||Yes (0)|
|>= 2 Total Years of Experience||Yes (24)|
|> 2 Year Avg Duration at Employers||Yes (6)|
|Trusted by investor.com?||Yes. Learn More.|
The Trust algorithm did not surface any considerations for this individual. Checks take place monthly.
|FINRA Active||Previously (View Finra BrokerCheck CRD#2583821)|
|SEC Active||Yes (View SEC IAPD CRD#2583821)|
|Office Address||500 Rugh Street Suite 150 Greensburg, PA|