James W. Hirschmann
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 William Hirschmann was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 6 firms and has passed the Series 63, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2005 - December 31, 2012
FRANKLIN DISTRIBUTORS, LLC
September 30, 2003 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
August 11, 2001 - September 30, 2003
HOWARD WEIL INCORPORATED
June 13, 1996 - August 11, 2001
ARROYO SECO, INC.
March 1, 1996 - January 16, 1997
LEGG MASON WOOD WALKER, INCORPORATED
December 17, 1990 - January 16, 1997
LEGG MASON WOOD WALKER, INCORPORATED
April 13, 1988 - September 28, 1989
INVESCO DISTRIBUTORS, INC.
October 22, 1986 - January 14, 1988
ATALANTA SOSNOFF MANAGEMENT, LLC
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
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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