James B. Bragg
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 Bromley Bragg, who also goes by Jim Bragg, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2006 - July 18, 2017
KEPLER CAPITAL MARKETS, INC.
April 14, 2004 - March 23, 2006
ODDO BHF NEW YORK CORPORATION
July 17, 2000 - April 8, 2004
CREDIT AGRICOLE SECURITIES (USA) INC.
October 31, 1994 - July 20, 2000
BNP PARIBAS SECURITIES CORP.
October 13, 1993 - October 17, 1994
SCOTIA INTERNATIONAL, INC.
March 25, 1987 - September 20, 1993
MORGAN STANLEY & 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 55
Date: 1/12/2004
Limited Representative-Equity Trader ExamSeries 8
Date: 4/20/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
KEPLER CAPITAL MARKETS, INC.
CRD#: 139148 / SEC#: , 8-67194
Contact information
FINRA licenses (42 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 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.
