JD
James F. Dwinell
BOSTON PARTNERS SECURITIES, L.L.C.
Boston, MA 02108
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CRD#: 1999057
JD
Professional summary
James Fisher Dwinell IV, who also goes by James Fisher Dwinell, James Dwinell, Jamie Dwinell IV, is a registered financial professional currently at BOSTON PARTNERS SECURITIES, L.L.C. located in Boston, Massachusetts.
James is registered as a RR (Registered Representative) and started their career in finance in 1991. James has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Fisher Dwinell | James Dwinell | Jamie Dwinell Iv
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.
CRS (Client Relationship Summary) - BD
Click below to view James Fisher Dwinell IV's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 22, 2017 - Present
BOSTON PARTNERS SECURITIES, L.L.C.
Office #1: One Beacon Street 30th Floor, Boston, MA 02108BD
CRD#: 2998
Boston, MA
Past
May 12, 2016 - January 6, 2017
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
April 13, 2009 - May 12, 2016
PYRAMIS DISTRIBUTORS CORPORATION LLC
BD
CRD#: 146430
SMITHFIELD, RI
Past
May 26, 2006 - May 11, 2007
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
BOSTON, MA
Past
February 13, 2002 - March 31, 2006
BARINGS SECURITIES LLC
BD
CRD#: 36929
CHARLOTTE, NC
Past
July 8, 1994 - May 11, 1995
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
December 20, 1991 - September 22, 1993
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/22/2017)
RR
Alaska(8/22/2017)
RR
Arizona(8/22/2017)
RR
Arkansas(8/22/2017)
RR
California(8/22/2017)
RR
Colorado(8/22/2017)
RR
Connecticut(8/22/2017)
RR
Delaware(8/22/2017)
RR
District of Columbia(8/22/2017)
RR
Florida(8/22/2017)
RR
Georgia(8/22/2017)
RR
Hawaii(8/22/2017)
RR
Idaho(8/22/2017)
RR
Illinois(8/22/2017)
RR
Indiana(8/22/2017)
RR
Iowa(8/22/2017)
RR
Kansas(8/22/2017)
RR
Kentucky(8/22/2017)
RR
Louisiana(8/22/2017)
RR
Maine(8/22/2017)
RR
Maryland(8/22/2017)
RR
Massachusetts(8/22/2017)
RR
Michigan(8/22/2017)
RR
Minnesota(8/22/2017)
RR
Mississippi(8/22/2017)
RR
Missouri(8/22/2017)
RR
Montana(8/22/2017)
RR
Nebraska(8/22/2017)
RR
Nevada(8/22/2017)
RR
New Hampshire(8/22/2017)
RR
New Jersey(8/22/2017)
RR
New Mexico(8/22/2017)
RR
New York(8/22/2017)
RR
North Carolina(8/24/2017)
RR
North Dakota(8/22/2017)
RR
Ohio(8/22/2017)
RR
Oklahoma(8/22/2017)
RR
Oregon(8/22/2017)
RR
Pennsylvania(8/22/2017)
RR
Puerto Rico(8/22/2017)
RR
Rhode Island(8/22/2017)
RR
South Carolina(8/22/2017)
RR
South Dakota(8/22/2017)
RR
Texas(8/22/2017)
RR
Utah(8/22/2017)
RR
Vermont(8/22/2017)
RR
Virginia(8/22/2017)
RR
Washington(8/22/2017)
RR
West Virginia(8/22/2017)
RR
Wisconsin(8/22/2017)
RR
Wyoming(8/22/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BP
BOSTON PARTNERS SECURITIES, L.L.C.
BOSTON PARTNERS SECURITIES, L.L.C. | WEISS, PECK & GREER, L.L.C. | WEISS, PECK & GREER INVESTMENTS | WEISS PECK & GREER LLC | WEISS PECK & GREER | ROBECO USA, L.L.C. | ROBECO USA BROKERAGE SERVICES | ROBECO SECURITIES, L.L.C. | ROBECO INVESTMENT MANAGEMENT
CRD#: 2998 / SEC#: , 8-15648
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Beacon Street- 30th Floor, Boston, MA 02108
Mailing Address
One Beacon Street- 30th Floor, Boston, MA 02108
Phone number
(617) 832-8200
Established
Delaware since 05/21/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
Company Information
BOSTON PARTNERS SECURITIES, L.L.C.
CRD#: 2998Boston, MA 02108TRUST BUT VERIFY
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