James L. Brockman
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 Larry Brockman was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 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
January 12, 2010 - September 8, 2011
SECURITIES AMERICA, INC.
May 12, 2009 - July 22, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
May 5, 2009 - July 22, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
August 12, 2006 - May 13, 2009
UBS FINANCIAL SERVICES INC.
August 12, 2006 - May 13, 2009
UBS FINANCIAL SERVICES INC.
July 8, 2005 - August 12, 2006
PIPER SANDLER & CO.
July 8, 2005 - August 12, 2006
PIPER SANDLER & CO.
July 8, 1997 - July 28, 2005
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - July 28, 2005
CITIGROUP GLOBAL MARKETS INC.
August 23, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
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 8
Date: 7/26/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
