James J. Garcia
Professional summary
James Justin Garcia JR was barred by the FINRA 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 1983. Prior to being barred, James had worked at 21 firms, which includes PRIME CHARTER LTD., AXIOM CAPITAL MANAGEMENT INC., JARON EQUITIES CORP., SANDGRAIN SECURITIES LLC, BISHOP ALLEN INC., EURO-ATLANTIC SECURITIES INC., STUART COLEMAN & CO. INC., A.S. GOLDMEN & CO. INC., JOSEPHTHAL & CO. INC., D. BLECH & COMPANY INCORPORATED, TUCKER ANTHONY INCORPORATED, D. H. BLAIR & CO. INC., MORGAN KEEGAN & COMPANY LLC, GRUNTAL & CO. L.L.C., CIBC WORLD MARKETS CORP., L. F. ROTHSCHILD & CO. INCORPORATED, CITIGROUP GLOBAL MARKETS INC., J.P. MORGAN SECURITIES LLC, LEHMAN BROTHERS INC., DREXEL BURNHAM LAMBERT INCORPORATED, MOORE & SCHLEY CAMERON & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 1997 - February 4, 1998
PRIME CHARTER LTD.
March 24, 1997 - October 30, 1997
AXIOM CAPITAL MANAGEMENT, INC.
February 14, 1997 - April 7, 1997
JARON EQUITIES CORP.
September 6, 1996 - September 25, 1996
SANDGRAIN SECURITIES LLC
August 21, 1995 - September 7, 1995
BISHOP, ALLEN, INC.
May 23, 1995 - September 5, 1995
EURO-ATLANTIC SECURITIES INC.
January 23, 1995 - May 1, 1995
STUART, COLEMAN & CO., INC.
November 9, 1994 - January 27, 1995
A.S. GOLDMEN & CO., INC.
September 27, 1994 - September 27, 1994
JOSEPHTHAL & CO., INC.
November 3, 1993 - October 26, 1994
D. BLECH & COMPANY, INCORPORATED
September 22, 1993 - November 9, 1993
TUCKER ANTHONY INCORPORATED
November 15, 1991 - July 8, 1992
D. H. BLAIR & CO., INC.
May 24, 1990 - April 19, 1991
MORGAN KEEGAN & COMPANY, LLC
August 10, 1989 - May 16, 1990
GRUNTAL & CO., L.L.C.
January 30, 1988 - July 25, 1989
CIBC WORLD MARKETS CORP.
October 14, 1987 - February 4, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
November 21, 1986 - October 30, 1987
CITIGROUP GLOBAL MARKETS INC.
February 7, 1986 - October 3, 1986
J.P. MORGAN SECURITIES LLC
September 11, 1985 - February 27, 1986
LEHMAN BROTHERS INC.
March 4, 1985 - September 19, 1985
DREXEL BURNHAM LAMBERT INCORPORATED
June 22, 1983 - March 26, 1985
MOORE & SCHLEY, CAMERON & CO.
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
Current Firm
PRIME CHARTER LTD.
CRD#: 25668 / SEC#: , 8-41900
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRAND CHARTER GROUP | SOLE SHAREHOLDER | |
| FYFE, DAVID WILLIAM | CROP, SROP | 1379498 |
| GIANNI, JAMES A | DIRECTOR OF COMPLIANCE | 3215697 |
| HAUSER, MARK ALLAN | GSP, ROP, MUNI PRINCIPAL | 1545167 |
| MOFSHIN, HOWARD JONATHAN | GSP | 2416504 |
| RONDA, MARK WILLIAM | DIRECTOR, SECRETARY, VICE CHAIR, PRESIDENT, MANAGING DIRECTOR, TREAURE | |
| SADICARIO, STEVEN LAWRENCE | BRANCH MANAGER, CROP | 1227073 |
| SANCHEZ, LUIS ALEXANDER | GSP | |
| SCHWARTZ, STEPHEN FRANK | C.O.O., C.R.O., DIRECTOR, PRESIDENT, CHARIMAN | 844549 |
| SHATZKAMER, LARRY | GSP | |
| SILVERMAN, MICHAEL HAL | GSP, ROP, MUNI PRINCIPAL | |
| STOLTZ, MARC HAROLD | FINOP | 1008943 |
| WHELAN, STEVEN PATRICK | GSP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 5 |
Red Flags
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