James R. Brumbelow
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 Roland Brumbelow, who also goes by Jim Brumbelow, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 7 firms and has passed the Series 63, Series 7, Series 62, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2010 - December 18, 2013
MMC SECURITIES LLC
May 12, 2010 - November 1, 2010
INTERLINK SECURITIES CORP.
June 7, 2000 - February 20, 2009
CITIGROUP GLOBAL MARKETS INC.
February 8, 1999 - March 31, 2000
CARILLON INVESTMENTS, INC.
October 15, 1993 - February 3, 1999
VOYA FINANCIAL PARTNERS, LLC
January 27, 1992 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
April 26, 1983 - February 20, 1991
LINCOLN FINANCIAL DISTRIBUTORS, 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 62
Date: 9/13/1988
Corporate Securities Limited Representative ExaminationCurrent Firm
MMC SECURITIES LLC
CRD#: 103846 / SEC#: 801-60515, 8-52349
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARSH INSURANCE & INVESTMENTS LLC | SOLE MEMBER | |
| BLACKMORE, KIMBERLY LYNN | FINOP PRINCIPAL, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, DIRECTOR AND TREASURER | 2219307 |
| HUM, CHI HONG | PRESIDENT, ASSISTANT SECRETARY AND DIRECTOR | 1620728 |
| KEANE, DARREN PETER | DEPUTY CCO, DIRECTOR | 6900143 |
| KUMAR, SHIV | CEO AND DIRECTOR | 3165711 |
| MA, JOHN SUNG | PRINCIPAL OPERATIONS OFFICER | 5858075 |
| WEINSTOCK, JUDITH ANN | CCO, DIRECTOR AND SECRETARY | 8096565 |
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.
