James R. Foster
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 Richard Foster was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 5 firms and has passed the Series 63, Series 55, 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
September 4, 2012 - February 1, 2013
LEGEND TRADING, LLC
July 29, 2009 - October 22, 2010
SCHON-EX LLC
September 26, 2006 - July 31, 2008
WHEATLEY CAPITAL SERIES FUND LLC
May 19, 1993 - November 4, 2009
SCHONFELD SECURITIES, LLC
March 19, 1985 - June 10, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
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 55
Date: 1/26/2000
Limited Representative-Equity Trader ExamCurrent Firm
LEGEND TRADING, LLC
CRD#: 150567 / SEC#: , 8-68269
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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