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JS

James P. Staff

Some features on this profile are disabled
CRD#: 1003088
JS

Professional summary

James Peter Staff was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, James had worked at 8 firms, which includes BROADBAND CAPITAL MANAGEMENT LLC, MASON HILL & CO. INC., LADENBURG THALMANN & CO. INC., STATE CAPITAL MARKETS CORPORATION, LEHMAN BROTHERS INC., REICH & CO. INC., JJC SECURITIES CO. INC., JESUP & LAMONT SECURITIES CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 30, 2000 - September 27, 2002

BROADBAND CAPITAL MANAGEMENT, LLC

BD
CRD#: 48001
NEW YORK, NY
Past

November 28, 1995 - July 9, 1999

MASON HILL & CO., INC.

BD
CRD#: 38308
NEW YORK, NY
Past

February 14, 1995 - August 4, 1995

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

February 5, 1994 - February 13, 1995

STATE CAPITAL MARKETS CORPORATION

BD
CRD#: 13685
NEW YORK, NY
Past

August 3, 1992 - May 13, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

November 12, 1991 - June 10, 1992

REICH & CO., INC.

BD
CRD#: 3148
Past

June 1, 1988 - December 12, 1991

JJC SECURITIES CO., INC.

BD
CRD#: 3144
Past

August 19, 1983 - April 22, 1988

JESUP & LAMONT SECURITIES CO., INC.

BD
CRD#: 6736

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/31/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 2/13/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/18/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 1/27/2000
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 10/3/1991
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 24
Date: 3/22/1990
General Securities Principal Examination

Current Firm

BC
BROADBAND CAPITAL MANAGEMENT, LLC
BROADBAND CAPITAL MANAGEMENT, LLC

CRD#: 48001 / SEC#: , 8-51992

BD
Terminated by SEC on 06/07/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 03/29/1999
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BROADBAND CAPITAL HOLDINGS, LLC96.1% OWNER
WAGENHEIM, PHILIP ROBERTVICE CHAIRMAN/ GSP/ .78% OWNER2243599
WAGENHEIM, PHILIP ROBERTCHIEF COMPLIANCE OFFICER (CCO)2243599
RAPOPORT, MICHAEL DAVIDCHAIRMAN/ 3.12% OWNER2027143
STOLTZ, MARC HAROLDFINOP1008943

Disclosures

Regulatory Event4

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.

Company Information

BROADBAND CAPITAL MANAGEMENT, LLC

CRD#: 48001

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