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JG

James M. Griegel

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CRD#: 1463581
JG

Professional summary

James Michael Griegel was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, James had worked at 2 firms, which includes MELVIN SECURITIES L.L.C., ZIV INVESTMENT COMPANY.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James M Griegel

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

April 1, 2014 - January 7, 2016

MELVIN SECURITIES, L.L.C.

BD
CRD#: 29767
CHICAGO, IL
Past

March 15, 2002 - July 31, 2014

ZIV INVESTMENT COMPANY

BD
CRD#: 4316
CHICAGO, IL

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

Principal/Supervisory Exam
RR
Series 27
Date: 2/19/2002
Financial and Operations Principal Examination

Current Firm

MS
MELVIN SECURITIES, L.L.C.
MELVIN & COMPANY | MELVIN SECURITIES, L.L.C. | MELVIN SECURITIES, L.L.C. | MELVIN SECURITIES CORPORATION

CRD#: 29767 / SEC#: , 8-41505

BD
Postponed Effective by SEC on 05/03/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 03/10/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MELVIN & COMPANY, L.L.C.MEMBER
RORKE, ALEXANDER IRWINSENIOR MANAGING DIRECTOR1372205
RORKE, ALEXANDER IRWINSENIOR MANAGING DIRECTOR/MEMBER/CCO/COO1372205

Disclosures

Regulatory Event8
Civil Event1

Red Flags

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Company Information

MELVIN SECURITIES, L.L.C.

CRD#: 29767

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