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JF

James R. Frith

Some features on this profile are disabled
CRD#: 1018009
JF

Professional summary

James Robert Frith JR was barred by the SEC 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 1981. Prior to being barred, James had worked at 2 firms, which includes CHICAGO PARTNERSHIP BOARD INC., MORGAN STANLEY DW INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jr James Robert Frith

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

June 30, 1988 - March 26, 1998

CHICAGO PARTNERSHIP BOARD, INC.

BD
CRD#: 22163
CHICAGO, IL
Past

December 11, 1981 - May 6, 1988

MORGAN STANLEY DW INC.

BD
CRD#: 7556

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: 12/4/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 5
Date: 12/11/1982
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 11/21/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/26/1988
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 39
Date: 4/14/1988
Direct Participation Programs Principal Examination

Current Firm

CP
CHICAGO PARTNERSHIP BOARD, INC.
CHICAGO PARTNERSHIP BOARD, INC.

CRD#: 22163 / SEC#: , 8-39623

BD
Cancelled by SEC on 06/13/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/11/1988
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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

CHICAGO PARTNERSHIP BOARD, INC.

CRD#: 22163

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