James G. Lister
Professional summary
James Gareth Lister, who also goes by Jamie Lister, is a registered financial professional currently at J.H. DARBIE & CO., INC. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1992. James has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Gareth Lister's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 4, 2013 - Present
J.H. DARBIE & CO., INC.
Office #1: 48 Wall St., Suite 1206, New York, NY 10005November 2, 1993 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
November 2, 1993 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
November 2, 1993 - September 18, 2008
LEHMAN BROTHERS INC.
May 13, 1992 - August 12, 1995
UBS FINANCIAL SERVICES 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
FINRA
Nasdaq Stock Market
Current Firm
J.H. DARBIE & CO., INC.
CRD#: 43520 / SEC#: , 8-50335
Contact information
FINRA licenses (46 States and Territories)
Disclosures
| Regulatory Event | 10 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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