James S. Gold
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 Sommers Gold was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 3 firms and has passed the SIE, Series 7, Series 41 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
September 19, 2013 - March 2, 2020
SAWAYA PARTNERS SECURITIES, LLC
May 28, 2009 - December 31, 2011
PIPER SANDLER & CO.
April 27, 1985 - March 12, 2009
LAZARD FRERES & CO. 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
Series 41
Date: 3/16/1985
NYSE Allied Member ExaminationCurrent Firm
SAWAYA PARTNERS SECURITIES, LLC
CRD#: 148860 / SEC#: , 8-68076
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAWAYA PARTNERS, LLC | SOLE SHAREHOLDER | |
| KUHR, JEFFREY HOWARD | CHIEF COMPLIANCE OFFICER | 2251059 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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