James A. Price
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 Alfred Price was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 1 firm and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 1994 - June 9, 2000
NBF SECURITIES (USA) CORP.
May 14, 1991 - October 26, 1993
NBF SECURITIES (USA) CORP.
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
Current Firm
NBF SECURITIES (USA) CORP.
CRD#: 25541 / SEC#: , 8-41790
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NBF SECURITIES (USA) LTD | SHAREHOLDER | |
| BADESKI, PAUL RAYMOND | MANAGING DIRECTOR AND HEAD OF FIXED INCOME SALES | 2821677 |
| HOFFMAN, JOAN ELLEN | INTERIM CHIEF COMPLIANCE OFFICER | 1565558 |
| KEEGAN, RANDALL MYLES | MANAGING DIRECTOR FIXED INCOME SALES | 2216467 |
| LANGLOIS, STYVES | SENIOR VICE-PRESIDENT AND MANAGING DIRECTOR - DESIGNATED PRINCIPAL/RETAIL REGISTERED PERSONNEL | 4379409 |
| LEGRIS, ALAIN | EXECUTIVE VICE-PRESIDENT | 2253876 |
| MORRIS, PAUL EDWARD | CHIEF FINANCIAL OFFICER | 1607225 |
| MULRONEY, MARK | CO-HEAD AND MD, INSTITUTIONAL EQUITIES TRADING | 4437210 |
| NICOSIA, FRANK | INTERIM SENIOR COMPLIANCE OFFICER | 2790594 |
| PASCOE, RICARDO ALEJANDRO | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2984919 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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