James C. Dyer
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 C Dyer, who also goes by James Christopher Dyer, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 13 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2012 - July 18, 2013
COHEN & COMPANY SECURITIES, LLC
April 12, 2011 - April 19, 2011
TOPEKA CAPITAL MARKETS INC.
April 15, 2009 - June 2, 2010
RODMAN & RENSHAW, LLC
July 7, 2004 - January 22, 2009
MAXIM GROUP LLC
April 15, 2002 - July 8, 2004
BROKERAGEAMERICA, LLC
April 23, 2001 - April 15, 2002
BROKERAGEAMERICA, INC
February 10, 1999 - April 27, 2001
HAPOALIM SECURITIES USA, INC.
December 17, 1991 - February 18, 1999
STUART, COLEMAN & CO., INC.
October 8, 1991 - December 19, 1991
JOSEPHTHAL & CO., INC.
January 17, 1990 - October 18, 1991
JJC SECURITIES CO., INC.
January 9, 1990 - January 29, 1990
HANIFEN, IMHOFF SECURITIES CORP.
March 14, 1989 - August 21, 1989
MOORE & SCHLEY SECURITIES CORPORATION
April 23, 1986 - April 12, 1990
MOORE & SCHLEY, CAMERON & CO.
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
Series 55
Date: 12/3/1999
Limited Representative-Equity Trader ExamCurrent Firm
COHEN & COMPANY SECURITIES, LLC
CRD#: 149758 / SEC#: , 8-68186
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
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.
