Individual Firm
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JAMES MATTHEW TAFELSKI
CRD#: 2463362
IA
B
CITIZENS SECURITIES, INC.CRD#: 39550 49417 VAN DYKE
MAILSTOP: MIB831
SHELBY TOWNSHIP, MI 48317
MAILSTOP: MIB831
SHELBY TOWNSHIP, MI 48317
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5/12/2014
Customer Dispute
Denied
10/9/2012
Customer Dispute
Denied
12/21/2001
Customer Dispute
Denied
State Registrations
B
Florida 11/10/2022
B
New York 4/9/2018
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Florida 11/14/2022
IA
New York 4/8/2021
B
Michigan 9/1/2017
B
South Carolina 11/13/2017
IA
Michigan 9/25/2017
IA
South Carolina 11/15/2017
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/25/2017
B
Registered with this firm since 9/1/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/14/2006 - 09/08/2017 | CLINTON TOWNSHIP, MI | |
B | 11/21/2006 - 09/08/2017 | CLINTON TOWNSHIP, MI | |
B | 09/14/2001 - 11/10/2006 | ANN ARBOR, MI | |
B | 09/14/2001 - 12/31/2001 | CLEVELAND, OH | |
B | 03/13/2001 - 09/25/2001 | EL SEGUNDO, CA | |
B | 04/29/1997 - 03/28/2001 | DETROIT, MI | |
B | 06/15/1994 - 08/29/1997 | DETROIT, MI |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.