James B. Caldwell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Boyd Caldwell was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2021 - March 29, 2022
MONMOUTH CAPITAL MANAGEMENT LLC
October 11, 2021 - October 18, 2021
CABIN SECURITIES, INC.
March 23, 1998 - August 30, 2021
GREAT NATION INVESTMENT CORPORATION
March 17, 1997 - March 23, 1998
CRISPIN KOEHLER SECURITIES
April 29, 1982 - March 25, 1997
A. B. CULBERTSON AND COMPANY
September 16, 1981 - March 11, 1982
RAYMOND JAMES FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MONMOUTH CAPITAL MANAGEMENT LLC
CRD#: 290248 / SEC#: , 8-70025
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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