James Peter Staff
Professional Summary
James Peter Staff was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1983 - 2002. James had worked at 8 firms and has passed the Series 63, Series 55, Series 7, Series 53, Series 8 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
45 years in the financial services industry
Current & Past Employments
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Current Firm
BROADBAND CAPITAL MANAGEMENT, LLC
Contact Information
Established
New York since 03/29/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Feb 2001Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Oct 1991Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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