James M. Freeman

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CRD#: 1942105

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 Matthew Freeman, who also goes by Jim Freeman, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1989. James had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Freeman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 29, 2014 - January 14, 2015

CRT CAPITAL GROUP LLC

CRD#: 28830

San Francisco, CA

Past

June 10, 2013 - August 26, 2014

CANTOR FITZGERALD & CO.

CRD#: 134

SAN FRANCISCO, CA

Past

July 18, 2011 - April 23, 2013

DAIWA CAPITAL MARKETS AMERICA INC.

CRD#: 1576

SAN FRANCISCO, CA

Past

December 1, 2005 - July 28, 2011

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

SAN FRANCISCO, CA

Past

January 6, 2004 - December 1, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

November 1, 2001 - January 16, 2004

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

August 11, 1998 - November 13, 2001

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

June 13, 1997 - April 1, 1998

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

March 4, 1996 - June 19, 1997

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

May 2, 1995 - March 4, 1996

FIRST SOUTHWEST COMPANY, LLC

CRD#: 316

DALLAS, TX

Past

August 23, 1993 - May 5, 1995

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

November 2, 1992 - August 30, 1993

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

April 5, 1989 - April 30, 1990

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 11/2/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/14/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/29/1992

General Securities Representative Examination

Current Firm

CRT CAPITAL GROUP LLC

CREDIT RESEARCH AND TRADING CORP. | STERNE AGEE CRT | CRT CAPITAL GROUP LLC | CREDIT RESEARCH AND TRADING LLC

CRD#: 28830 / SEC#: , 8-43940

Terminated by SEC on 11/29/2016

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 12/31/1993

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
CRT GREENWICH LLC	PARENT COMPANY
KALISH, GEOFFREY ORIN	BOARD CHAIRMAN OF PARENT COMPANY AND CCO
NIELSEN, JOHN DAVID	GENERAL COUNSEL	5889411
TUITE, ROBERT KEVIN	CHIEF FINANCIAL OFFICER AND FINOP	2862493

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

James M. Freeman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CANTOR FITZGERALD & CO.

DAIWA CAPITAL MARKETS AMERICA INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

RAYMOND JAMES & ASSOCIATES, INC.

PIPER SANDLER & CO.

UBS SECURITIES LLC

RAYMOND JAMES & ASSOCIATES, INC.

FIRST SOUTHWEST COMPANY, LLC

ALEX. BROWN & SONS INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/2/1992

SIE

Date: 1/14/2015

Series 7

Date: 10/29/1992

Current Firm

CRT CAPITAL GROUP LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CRT CAPITAL GROUP LLC

TRUST BUT VERIFY

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