James Francis Schroeder
Professional Summary
James Francis Schroeder, who also goes by James Schroeder, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1989 - 2006. James had worked at 2 firms and has passed the Series 63, Series 55, Series 3, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Schroeder
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
AUTO BOND INC. | STATUS SECURITIES INC. | INSTITUTIONAL DIRECT INC. | AUTOBOND INC.
Contact Information
Established
New York since 04/22/1988Firm Type
CorporationFiscal Year End
NovemberDocuments
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 |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jul 1999Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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