James M. Maserati
Professional summary
James Mckillop Maserati was barred by the SEC 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 4 firms, which includes E-W INVESTMENTS INC., GENEVE INTERNATIONAL CORPORATION, MORGAN STANLEY DW INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 1992 - September 7, 1995
E-W INVESTMENTS, INC.
December 24, 1987 - November 29, 1990
GENEVE INTERNATIONAL CORPORATION
February 21, 1986 - April 17, 1986
MORGAN STANLEY DW INC.
September 24, 1984 - February 19, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
E-W INVESTMENTS, INC.
CRD#: 17463 / SEC#: , 8-35259
Contact information
Disclosures
| Regulatory Event | 2 |
Red Flags
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