James P. Daprile
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 Peter Daprile was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 8 firms and has passed the Series 63, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2014 - October 3, 2014
GLOBAL ARENA CAPITAL CORP
October 5, 2007 - October 13, 2010
MIDWOOD SECURITIES, INC.
January 22, 2003 - June 30, 2003
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.
January 22, 2003 - November 14, 2003
DRESDNER KLEINWORT WASSERSTEIN, LLC
December 24, 1996 - October 22, 2003
COMMERZ MARKETS LLC
January 9, 1991 - December 17, 1996
DRESDNER SECURITIES (USA) INC.
February 1, 1989 - February 21, 1990
BROADWAY FINANCIAL INVESTMENT SERVICES CORP.
November 30, 1988 - February 1, 1989
GLICKENHAUS & CO. - NEW JERSEY
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
GLOBAL ARENA CAPITAL CORP
CRD#: 16871 / SEC#: , 8-34661
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Financial | 1 |
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.
