James W. White
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 William White, who also goes by James W White, Jim White, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 4 firms and has passed the Series 63, Series 7, Series 24 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
May 10, 2001 - April 1, 2014
BLOOMBERG TRADEBOOK LLC
October 10, 2000 - April 2, 2001
PREBON SECURITIES (USA) INC.
October 10, 2000 - April 2, 2001
PREBON FINANCIAL PRODUCTS INC.
June 8, 1993 - September 3, 1999
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
Series 8
Date: 9/22/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BLOOMBERG TRADEBOOK LLC
CRD#: 40881 / SEC#: , 8-49219
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 9 |
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.
