James H. Bozman
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 Harvey Bozman, AIF®, who also goes by Jim Bozman, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3 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
February 26, 2018 - December 31, 2022
FINTRUST BROKERAGE SERVICES, LLC
September 21, 2009 - January 25, 2018
SILVER OAK SECURITIES, INCORPORATED
January 29, 2008 - December 31, 2022
FINTRUST CAPITAL ADVISORS, LLC
May 30, 2006 - March 10, 2008
AMERICAN SECURITIES GROUP, INC.
April 3, 2006 - September 18, 2009
AMERICAN SECURITIES GROUP, INC.
October 1, 1999 - April 4, 2006
WELLS FARGO CLEARING SERVICES, LLC
January 1, 1998 - April 4, 2006
WELLS FARGO CLEARING SERVICES, LLC
April 18, 1997 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
March 25, 1987 - May 15, 1997
THE ROBINSON-HUMPHREY COMPANY, LLC
State Registrations and Notice Filings
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Exams
Current Firm
FINTRUST BROKERAGE SERVICES, LLC
CRD#: 41608 / SEC#: , 8-49514
Contact information
Documents
Red Flags
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