James F. Schroeder
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 Francis Schroeder, who also goes by James Schroeder, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 2 firms and has passed the Series 63, Series 55, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2000 - April 28, 2006
INSTITUTIONAL DIRECT INC.
June 14, 1989 - October 31, 2013
J.P. MORGAN SECURITIES 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
Series 55
Date: 7/13/1999
Limited Representative-Equity Trader ExamCurrent Firm
INSTITUTIONAL DIRECT INC.
CRD#: 23019 / SEC#: , 8-40058
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEAR, STEARNS & CO. INC. | SHAREHOLDER | 79 |
| DISTELL, GARY NEIL | GENERAL COUNSEL, DESIGNATED NASD EXEC. REP. | 1540489 |
| KESSLER, CHARLES | CCO | 3048174 |
| LYONS, ROBERT P | SENIOR MANAGING DIRECTOR, SECRETARY, DIRECTOR | 3155378 |
| SCHROEDER, JAMES FRANCIS | MANAGING DIRECTOR/PRINCIPAL | 1961007 |
| STEPPACHER, WALTER MAURICE | CFO | 1219845 |
| VALENTE, JAMES ROBERT JR | PRESIDENT, DIRECTOR, CEO, SMD | 703860 |
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.
