Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames David Dack is a financial professional with over 15 years of experience in the industry. James has been registered with SP Securities LLC in Houston, Texas since February 2017. Prior to that, James worked at Stern Brothers & Co. in Seattle, Washington and Seattle-Northwest Securities Corporation, also in Seattle. James holds Series 7, 52, 63 and SIE licenses and has experience in investment banking.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
TX
02/09/2017 - Present
SP Securities LLC (HOUSTON TX)
WA
03/05/2010 - 12/19/2016
STERN BROTHERS & CO. (SEATTLE WA)
WA
07/25/2005 - 09/04/2007
SEATTLE-NORTHWEST SECURITIES CORPORATION (SEATTLE WA)
BC
Issued 04/30/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/04/2010
Series 7 - General Securities Representative Examination
BC
Issued 07/22/2005
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
Not sure James Dack is the right advisor for you? Invested Better is here to help.
