James R. Snyder
Professional summary
James Robert Snyder 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 1984. Prior to being barred, James had worked at 8 firms, which includes LOCUST STREET SECURITIES INC., DALTON STRATEGIC INVESTMENT SERVICES INC., AMERICAN GENERAL EQUITY SERVICES CORPORATION, NORTH AMERICAN MANAGEMENT INC., CAPITAL BROKERAGE CORPORATION, THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC., SUN LIFE FINANCIAL DISTRIBUTORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 1996 - July 31, 2003
LOCUST STREET SECURITIES, INC.
March 26, 1996 - September 14, 1996
DALTON STRATEGIC INVESTMENT SERVICES INC.
March 31, 1995 - March 19, 1996
AMERICAN GENERAL EQUITY SERVICES CORPORATION
February 7, 1995 - March 8, 1995
NORTH AMERICAN MANAGEMENT, INC.
April 9, 1991 - December 31, 1994
NORTH AMERICAN MANAGEMENT, INC.
February 7, 1990 - February 22, 1991
CAPITAL BROKERAGE CORPORATION
March 28, 1989 - February 10, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 28, 1989 - February 10, 1990
PRUCO SECURITIES, LLC.
June 25, 1988 - March 16, 1989
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
June 18, 1984 - February 10, 1990
PRUCO SECURITIES, LLC.
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
LOCUST STREET SECURITIES, INC.
CRD#: 1703 / SEC#: , 8-14037
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ING ADVISORS NETWORK. INC | SOLE SHAREHOLDER | |
| COKINIS, CHRISTOPHER ALEX | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND SECRETARY | 1527389 |
| FRIEBERG, DAVID EUGENE | VICE PRESIDENT, RECRUITING | 1289486 |
| LARAIA, KEVIN MICHAEL | TREASURER, VICE PRESIDENT FINANCE & OPERATIONS, FIN OP, COO | 2456743 |
| LINDBERG, KARL STEPHEN | PRESIDENT/DIRECTOR | 1001270 |
| SIMMERS, JOHN STEPHEN | CHAIRMAN OF BOARD | 711578 |
| STEPHENS, LYNN ANNETTE | VICE PRESIDENT, BUSINESS DEVELOPMENT | 2169858 |
| STYCH, KEVIN PAUL | VICE PRESIDENT, SALES & MARKETING | 1904094 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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