James B. Fischer
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 Buckle Fischer was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 1993 - September 28, 1994
PRUDENTIAL EQUITY GROUP, LLC
May 17, 1993 - July 12, 1993
JMC INVESTMENT SERVICES, INC.
November 5, 1992 - May 4, 1993
UNITED PACIFIC SECURITIES, INC.
November 1, 1991 - November 19, 1992
JMC INVESTMENT SERVICES, INC.
January 12, 1990 - September 25, 1991
REES FINANCIAL GROUP, INC.
September 21, 1988 - January 17, 1990
CAPITAL HILL GROUP, INC.
December 14, 1987 - September 22, 1988
UBS FINANCIAL SERVICES INC.
September 8, 1986 - December 22, 1987
J.P. MORGAN SECURITIES LLC
August 1, 1984 - September 17, 1986
INTEGRATED RESOURCES EQUITY CORPORATION
April 18, 1984 - August 16, 1984
ALL SERVICES FINANCIAL CENTER
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
PRUDENTIAL EQUITY GROUP, LLC
CRD#: 7471 / SEC#: , 8-27154
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRUDENTIAL SECURITIES GROUP INC.["PSGI"] PARENT OF PRUDENTIAL EQUITY GROUP, LLC | SHAREHOLDER DIRECT | |
| BAVARO, MARGUERITE ANNE | CHIEF OPERATIONS OFFICER | 722294 |
| DUGAN, MICHAEL JOSEPH | CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | 1604211 |
| RICE, JUDY ANN | MANAGER | 67215 |
| SHEA, MICHAEL JOSEPH | MANAGER, CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER | 1014613 |
| STRANGFELD, JOHN ROBERT JR | MANAGER & CHAIRMAN OF THE BOARD | 1301812 |
Disclosures
| Regulatory Event | 288 |
| Civil Event | 1 |
| Arbitration | 579 |
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.
