James G. Freeman
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 Gilbert Freeman, who also goes by James Freeman, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 8 firms and has passed the Series 65, Series 63 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
April 16, 2012 - December 4, 2013
INVEST FINANCIAL CORPORATION
April 9, 2012 - December 4, 2013
INVEST FINANCIAL CORPORATION
April 20, 2011 - May 1, 2012
LEMON BAY ASSET MANAGEMENT, INC.
January 30, 2009 - April 10, 2012
MOORS & CABOT, INC.
January 30, 2009 - April 10, 2012
MOORS & CABOT, INC.
January 1, 2008 - February 10, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - February 10, 2009
WELLS FARGO CLEARING SERVICES, LLC
August 21, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
August 21, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
November 25, 2005 - September 13, 2006
UBS FINANCIAL SERVICES INC.
November 25, 2005 - September 13, 2006
UBS FINANCIAL SERVICES INC.
May 23, 2002 - November 28, 2005
MORGAN STANLEY DW INC.
January 8, 1999 - November 28, 2005
MORGAN STANLEY DW INC.
June 24, 1986 - January 11, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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.
