James A. Brodie
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 Alexander Brodie JR 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, SIE, Series 87, Series 7, Series 24, Series 8 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 2009 - October 6, 2017
DINOSAUR FINANCIAL GROUP, L.L.C
June 23, 2008 - November 13, 2009
TOCQUEVILLE SECURITIES L.P.
January 30, 2008 - June 18, 2008
JESUP & LAMONT SECURITIES CORP
November 14, 2007 - June 18, 2008
JESUP & LAMONT SECURITIES CORP
March 5, 2002 - June 15, 2007
CARR SECURITIES CORPORATION
October 30, 1990 - June 29, 2000
SANDS BROTHERS & CO., LTD.
January 29, 1990 - January 11, 1991
RODMAN & RENSHAW INC.
January 9, 1987 - February 26, 1990
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
May 20, 1986 - December 26, 1986
BROOKS WEINGER ROBBINS & LEEDS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 8
Date: 3/10/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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