James E. Creech

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CRD#: 1416539

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 Edward Creech, who also goes by Jim Creech, 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, Series 7, Series 52 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Creech

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 8, 2017 - January 17, 2020

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

New York, NY

Past

July 15, 2009 - May 9, 2017

TP ICAP GLOBAL MARKETS AMERICAS LLC

CRD#: 2762

JERSEY CITY, NJ

Past

July 2, 2003 - January 13, 2009

ICE BONDS SECURITIES CORPORATION

CRD#: 123635

HOBOKEN, NJ

Past

January 30, 1998 - July 3, 2003

PREBON FINANCIAL PRODUCTS INC.

CRD#: 29551

JERSEY CITY, NJ

Past

August 3, 1992 - November 3, 1992

TITUS & DONNELLY LLC

CRD#: 7033

NEW YORK, NY

Past

September 4, 1990 - July 9, 1992

MUNICIPAL PARTNERS INC.

CRD#: 24513

NEW YORK, NY

Past

March 26, 1990 - August 3, 1990

TITUS & DONNELLY LLC

CRD#: 7033

NEW YORK, NY

Past

May 23, 1989 - March 26, 1990

G.I.M.B. MUNICIPAL SECURITIES BROKER

CRD#: 16016

Past

December 19, 1986 - May 2, 1989

EMR SECURITIES, INC.

CRD#: 13418

NEW YORK, NY

Past

October 14, 1985 - November 19, 1986

PRUCO SECURITIES, LLC.

CRD#: 5685

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 4/27/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/24/1998

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 12/18/1986

Municipal Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/5/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196 / SEC#: , 8-43487

Terminated by SEC on 09/09/2023

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 11/30/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
TP ICAP AMERICAS HOLDINGS INC.	100% OWNER
BERNARDO, SHAWN FRANCIS	CEO	2513376
DESIMONE, LISA MARIE	CHIEF COMPLIANCE OFFICER	2691368
GOULET, STEPHEN PAUL	SENIOR MANAGING DIRECTOR/GENERAL COUNSEL/SECRETARY	4769810
PEZEU, CHRISTIAN JEAN MICHEL	PRINCIPAL FINANCIAL OFFICER	5661987

Disclosures

Regulatory Event

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.

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Firm Stability Insights

James E. Creech

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TP ICAP GLOBAL MARKETS AMERICAS LLC

ICE BONDS SECURITIES CORPORATION

PREBON FINANCIAL PRODUCTS INC.

TITUS & DONNELLY LLC

MUNICIPAL PARTNERS INC.

TITUS & DONNELLY LLC

G.I.M.B. MUNICIPAL SECURITIES BROKER

EMR SECURITIES, INC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/27/2004

SIE

Date: 10/1/2018

Series 7

Date: 2/24/1998

Series 52

Date: 12/18/1986

Series 6

Date: 10/5/1985

Current Firm

TULLETT PREBON FINANCIAL SERVICES LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TULLETT PREBON FINANCIAL SERVICES LLC

TRUST BUT VERIFY

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