James M. Braniff
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 M Braniff, who also goes by Jim Braniff, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 7 firms and has passed the Series 63, SIE 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
January 11, 2017 - July 6, 2017
THE BENCHMARK COMPANY, LLC
July 8, 2016 - December 16, 2016
WALL STREET ACCESS
June 3, 2014 - June 14, 2016
AVONDALE PARTNERS, LLC
May 15, 2007 - May 6, 2013
NEEDHAM & COMPANY, LLC
October 18, 2005 - January 9, 2007
CREDIT AGRICOLE SECURITIES (USA) INC.
March 31, 2003 - October 4, 2005
COWEN AND COMPANY
November 10, 1995 - March 19, 2003
PRUDENTIAL EQUITY GROUP, LLC
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
THE BENCHMARK COMPANY, LLC
CRD#: 22982 / SEC#: , 8-40081
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 1 |
Red Flags
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