James R. Niederle
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 Rudolph Niederle, who also goes by Jim Rudolph Niederle, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 50, Series 7 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
December 4, 2009 - November 15, 2021
HUNTINGTON SECURITIES, INC.
July 22, 2009 - December 3, 2009
COASTAL SECURITIES, INC.
January 22, 2008 - July 7, 2009
OPPENHEIMER & CO. INC.
July 13, 2007 - January 2, 2008
COASTAL SECURITIES, INC.
July 6, 2007 - August 16, 2007
WINTERS & CO. ADVISORS, LLC
February 18, 2005 - June 15, 2007
ESTRADA HINOJOSA & COMPANY, INC.
September 25, 2003 - November 8, 2004
PIPER SANDLER & CO.
November 30, 1998 - February 21, 2003
BANC OF AMERICA SECURITIES LLC
January 10, 1997 - June 20, 1997
J.P. MORGAN SECURITIES INC.
November 21, 1986 - June 9, 1997
J.P. MORGAN SECURITIES OF TEXAS, 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
Series 7TO
Date: 3/14/2024
General Securities Representative ExaminationCurrent Firm
HUNTINGTON SECURITIES, INC.
CRD#: 2261 / SEC#: , 8-5761
Contact information
FINRA licenses (29 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUNTINGTON BANCSHARES INCORPORATED | DIRECT OWNER | |
| BEEKMAN, TODD ANDREW | DIRECTOR | 6291198 |
| BORRELLI, MARK ROBERT | GENERAL COUNSEL/SECRETARY | 6803711 |
| COSTANZO, SAMANTHA ANN | DIRECTOR | 4133695 |
| DIBOWSKI, TERRA | HEAD OF BROKERAGE OPERATIONS | 5468840 |
| FITZSIMMONS, DAVID RAYMOND | HEAD OF INSTITUTIONAL SALES & TRADING, DIRECTOR | 4245434 |
| HERBERT, KATHERINE ELEANOR | CONTROLLER/FINOP | 6412263 |
| KLEINMAN, SCOTT DAVID | DIRECTOR | 2357636 |
| MILCETICH, MATTHEW LOUIS | PRESIDENT | 6419334 |
| SZWAGULAK, JOHN W III | CHIEF COMPLIANCE OFFICER | 4033023 |
| WALTHER, KATHLEEN | DIRECTOR | 7858303 |
Disclosures
| Regulatory Event | 8 |
Red Flags
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