James K. Buckman
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 Kenneth Buckman, who also goes by Jim Buckman, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 11 firms and has passed the Series 65, Series 63 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
August 23, 2007 - November 9, 2012
DAWSON JAMES SECURITIES, INC.
December 10, 2002 - September 26, 2007
NATIONAL SECURITIES CORPORATION
June 8, 2001 - April 26, 2002
WELLS FARGO CLEARING SERVICES, LLC
June 5, 2001 - April 26, 2002
WELLS FARGO CLEARING SERVICES, LLC
November 9, 2000 - June 20, 2001
STERLING FINANCIAL INVESTMENT GROUP, INC.
January 15, 1993 - November 20, 2000
JOSEPH CHARLES & ASSOC., INC.
September 6, 1990 - February 9, 1993
PARAGON CAPITAL MARKETS, INC.
April 18, 1990 - October 5, 1990
PRINCETON FINANCIAL GROUP, INC.
June 9, 1989 - April 26, 1990
H.J. MEYERS & CO., INC.
December 22, 1988 - June 20, 1989
HUBERMAN SECURITIES CORP.
November 23, 1988 - December 23, 1988
G. K. SCOTT & CO., INC.
July 21, 1987 - November 29, 1988
GREENTREE SECURITIES CORP.
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
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
