James J. Evans
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 John Evans was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2016 - July 11, 2024
BROWN BROTHERS HARRIMAN INVESTMENTS, LLC
March 27, 2009 - December 31, 2018
BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
March 3, 2009 - October 4, 2016
BROWN BROTHERS HARRIMAN & CO.
October 1, 2000 - January 12, 2009
BROWN BROTHERS HARRIMAN & CO.
August 16, 1995 - January 16, 1996
SHAWMUT BROKERAGE, INC.
March 24, 1987 - September 2, 1994
LAZARD FRERES & CO. 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
BROWN BROTHERS HARRIMAN INVESTMENTS, LLC
CRD#: 282732 / SEC#: , 8-69731
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROWN BROTHERS HARRIMAN & CO. | SOLE MEMBER | |
| GREIFENKAMP, DANIEL JOSEPH | CEO, CHAIRMAN OF THE BOARD | 2180478 |
| HUTSON, JOSHUA EYARE | CCO | 2912952 |
| KRUCZEK, ROBERT PATRICK | DIRECTOR | 2389311 |
| MESKIN, JEFFREY BRYAN | DIRECTOR | 2855280 |
| PUSTORINO, PAUL JAMES | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 5059093 |
| SCHOENFELD, JEFFREY ALAN | DIRECTOR | 2490214 |
Red Flags
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