James D. Golden
Professional summary
James D Golden, who also goes by James Drew Golden, James D Golden, is a registered financial professional currently at R.J. O'BRIEN SECURITIES, LLC located in Chicago, Illinois.
James is registered as a RR (Registered Representative) and started their career in finance in 1988. James has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 30 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James D Golden's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 21, 2024 - Present
R.J. O'BRIEN SECURITIES, LLC
Office #1: 222 South Riverside Plaza, Suite 1200, Chicago, IL 60606February 18, 2021 - November 1, 2023
BUCKLER SECURITIES LLC
November 25, 2015 - February 11, 2021
MORGAN STANLEY
October 19, 2015 - February 11, 2021
MORGAN STANLEY
October 12, 2010 - February 11, 2015
JEFFERIES LLC
April 28, 2008 - August 11, 2010
NATWEST MARKETS SECURITIES INC.
August 30, 2006 - August 8, 2007
MERRILL LYNCH GOVERNMENT SECURITIES INC.
August 29, 2006 - August 8, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 13, 1995 - February 16, 2006
LEHMAN BROTHERS INC.
March 22, 1991 - May 19, 1995
MERRILL LYNCH GOVERNMENT SECURITIES INC.
October 19, 1988 - May 19, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/21/2024)
Exams
FINRA
Current Firm
R.J. O'BRIEN SECURITIES, LLC
CRD#: 143624 / SEC#: , 8-67587
Contact information
FINRA licenses (30 States and Territories)
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.
