James R. Pezzimenti
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 Robert Pezzimenti was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 12 firms and has passed the Series 63, Series 3, Series 7, Series 52 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2002 - January 30, 2004
STERLING FINANCIAL INVESTMENT GROUP, INC.
April 19, 2002 - October 8, 2002
PAULSON INVESTMENT COMPANY LLC
January 2, 2002 - April 9, 2002
OPPENHEIMER & CO. INC.
April 30, 2001 - January 2, 2002
PRIME CHARTER LTD.
December 8, 1998 - May 9, 2001
JOSEPHTHAL & CO., INC.
September 9, 1994 - November 30, 1998
JWGENESIS SECURITIES, INC.
April 14, 1994 - June 29, 1995
D. BLECH & COMPANY, INCORPORATED
October 1, 1990 - April 19, 1994
PRUDENTIAL EQUITY GROUP, LLC
September 14, 1988 - October 22, 1990
LEHMAN BROTHERS INC.
March 21, 1988 - April 26, 1988
MORGAN STANLEY DW INC.
February 15, 1988 - October 22, 1990
LEHMAN BROTHERS INC.
August 23, 1985 - February 15, 1988
E. F. HUTTON & COMPANY INC
August 24, 1982 - July 30, 1985
DONALD SHELDON & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 5/27/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STERLING FINANCIAL INVESTMENT GROUP, INC.
CRD#: 41506 / SEC#: , 8-49503
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STERLING FINANCIAL GROUP OF COMPANIES, INC. (F/K/A STERLING FINANCIAL HOLDINGS INC.) | COMPANY | |
| GARCIA, CHARLES PATRICK | CHIEF EXECUTIVE OFFICER | 2933864 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
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.
