James E. Pass
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 E Pass, who also goes by James Edward Pass, Jim Pass, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 4 firms and has passed the Series 63, Series 7, Series 52 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
August 16, 2022 - April 5, 2024
GUGGENHEIM INVESTOR SERVICES, LLC
February 16, 2010 - July 30, 2010
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
May 2, 2000 - May 15, 2009
RBC CAPITAL MARKETS, LLC
November 11, 1991 - May 3, 2000
CITIGROUP GLOBAL MARKETS INC.
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
GUGGENHEIM INVESTOR SERVICES, LLC
CRD#: 30096 / SEC#: , 8-44742
Contact information
FINRA licenses (13 States and Territories)
Documents
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.
