James E. Zimmerman
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 Eric Zimmerman, who also goes by Jim Eric Zimmerman, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 5 firms and has passed the Series 65, Series 66, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2016 - December 1, 2016
LOWELL CAPITAL MANAGEMENT, LLC
August 28, 2003 - December 31, 2015
LOWELL CAPITAL MANAGEMENT, LLC
September 8, 1999 - May 30, 2003
STANDARD CAPITAL GROUP, INC.
January 7, 1993 - March 18, 1998
LIBRA INVESTMENTS, INC.
April 5, 1990 - May 26, 1992
UBS FINANCIAL SERVICES INC.
November 21, 1989 - March 13, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
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
LOWELL CAPITAL MANAGEMENT, LLC
CRD#: 126732 / SEC#:
Contact information
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.
