James R. Brodeur
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 Robert Brodeur was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2017 - May 28, 2019
LOMBARD SECURITIES INCORPORATED
May 6, 2016 - September 18, 2017
NATIONAL SECURITIES CORPORATION
July 29, 2015 - May 17, 2016
ADIRONDACK TRADING GROUP LLC
January 2, 2015 - August 3, 2015
R.M. STARK & CO., INC.
December 19, 2006 - January 2, 2015
INVESTORS CAPITAL CORP.
December 18, 2006 - January 2, 2015
INVESTORS CAPITAL CORP.
March 31, 2006 - December 18, 2006
NEXT FINANCIAL GROUP, INC.
March 14, 2006 - December 18, 2006
NEXT FINANCIAL GROUP, INC.
May 7, 2001 - March 9, 2006
COBURN & MEREDITH, INC.
October 1, 1999 - June 6, 2001
WELLS FARGO CLEARING SERVICES, LLC
December 21, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
September 17, 1996 - November 25, 1998
ROBERT THOMAS SECURITIES, INC
January 26, 1995 - September 9, 1996
LASALLE ST SECURITIES, L.L.C.
July 27, 1992 - January 23, 1995
GRUNTAL & CO., L.L.C.
January 29, 1990 - July 27, 1992
DICKINSON & CO.
November 30, 1989 - February 13, 1990
J. T. MORAN & CO., INC.
December 20, 1988 - November 30, 1989
IDS LIFE INSURANCE COMPANY
June 7, 1985 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
June 7, 1985 - November 30, 1989
AMERIPRISE FINANCIAL SERVICES, 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
Current Firm
LOMBARD SECURITIES INCORPORATED
CRD#: 27954 / SEC#: , 8-43340
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REYNOLDS, EDWIN MAJOR JR | DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL | 374634 |
| SOCHA, WILLIAM STEPHEN | CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER | 712323 |
| FOX, CHARLES CURTIS | CO-CEO, DIRECTOR, AND SHAREHOLDER | 1201770 |
| JONES, RUTH PORTER | DIRECTOR AND SHAREHOLDER | 842232 |
| PETER, EMIL III | SHAREHOLDER | |
| SLAGLE, BRIAN LEE | DIRECTOR AND SHAREHOLDER | 2895570 |
| DONLAN WELKER, TERRY LYNN | CHIEF COMPLIANCE OFFICER | 2825889 |
| OATES, DONALD EUGENE | DIRECTOR AND SHAREHOLDER | 1180250 |
| SONNIER, EDWARD DAVID II | DIRECTOR AND SHAREHOLDER | 2479370 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 4 |
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.
