James P. Meindl
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 Paul Meindl was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2018 - October 28, 2020
REDI GLOBAL TECHNOLOGIES LLC
May 2, 2012 - January 15, 2016
REUTERS TRANSACTION SERVICES LLC
June 25, 1999 - February 2, 2004
BRIDGE TRADING COMPANY
September 16, 1998 - March 10, 1999
JOSEPH STEVENS & CO., INC.
September 18, 1997 - September 16, 1998
DONALD & CO. SECURITIES INC.
August 13, 1992 - September 16, 1997
FIRST ASSET MANAGEMENT, INC.
February 14, 1990 - September 11, 1992
COMMONWEALTH ASSOCIATES
January 18, 1989 - February 17, 1990
PARAGON CAPITAL MARKETS, INC.
July 13, 1988 - September 11, 1992
COMMONWEALTH ASSOCIATES
November 8, 1985 - July 6, 1988
D. H. BLAIR & CO., INC.
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
REDI GLOBAL TECHNOLOGIES LLC
CRD#: 41924 / SEC#: , 8-49673
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REFINITIV US LLC | OWNER | |
| BALTOVSKI, ALEXANDER NMN | FINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO | 2350828 |
| CUTLER, SETH | DIRECTOR | 2594208 |
| IAMSCICOV WEIGL, KATARINA | CHIEF COMPLIANCE OFFICER AND SECRETARY | 7893210 |
| MALONEY, MICHAEL G | DIRECTOR, CEO, MANAGING PRINCIPAL | 5728423 |
| SIBLEY, JOHN HOLDEN | DIRECTOR | 5781488 |
Disclosures
| Regulatory Event | 7 |
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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