James B. Maze
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 Bernard Maze, who also goes by James Bernard Maze, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 5 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 27, 2014 - November 15, 2017
TANDEM INVESTMENT PARTNERS, LLC
December 9, 2013 - September 30, 2014
TANDEM WEALTH ADVISORS
February 14, 2003 - December 31, 2008
PNC CAPITAL MARKETS LLC
November 22, 1989 - March 1, 2002
FAM DISTRIBUTORS, INC.
October 21, 1987 - April 30, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
TANDEM INVESTMENT PARTNERS, LLC
CRD#: 172309 / SEC#: 801-121703
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
TANDEM INVESTMENT PARTNERS, LLC
CRD#: 172309 / SEC#: 801-121703
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 441 |
| AUM (Assets Under Management) | $ 175,564,991 |
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.
