James L. Hindenach
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 Lee Hindenach, who also goes by Jim Hindenach, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 8 firms and has passed the Series 63, 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 19, 2010 - October 18, 2013
COHEN & COMPANY SECURITIES, LLC
September 30, 2009 - February 12, 2010
PALI CAPITAL, INC.
February 10, 2009 - September 17, 2009
SUMMIT SECURITIES GROUP LLC
November 1, 2003 - February 6, 2009
BMO CAPITAL MARKETS CORP.
August 25, 1999 - November 1, 2003
HARRIS NESBITT CORP.
April 1, 1999 - July 1, 1999
GREENWICH HIGH YIELD LLC
January 24, 1991 - December 18, 1998
CIBC WORLD MARKETS CORP.
April 29, 1987 - December 12, 1990
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COHEN & COMPANY SECURITIES, LLC
CRD#: 149758 / SEC#: , 8-68186
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
