James P. Wilburn
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 Patrick Wilburn, who also goes by Jimmy Wilburn, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 9 firms and has passed the Series 63, SIE 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
September 18, 2014 - July 2, 2015
CASTLEOAK SECURITIES, LP
January 31, 2014 - September 22, 2014
BLAYLOCK VAN, LLC
September 4, 2012 - January 29, 2014
M. R. BEAL & COMPANY
June 1, 2009 - September 5, 2012
MORGAN STANLEY
September 27, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 14, 1992 - September 28, 1993
LEHMAN BROTHERS INC.
October 10, 1991 - May 19, 1992
JOSEPHTHAL & CO., INC.
May 29, 1990 - October 23, 1991
JJC SECURITIES CO., INC.
October 25, 1989 - May 29, 1990
JSC SECURITIES, 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
Current Firm
CASTLEOAK SECURITIES, LP
CRD#: 125334 / SEC#: , 8-65786
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
