James W. Bien
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 William Bien was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 6 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2003 - November 21, 2018
WATERSTONE INVESTMENT COUNSEL, LLC
March 11, 1988 - October 29, 1999
MORGAN STANLEY DW INC.
February 15, 1988 - April 19, 1988
LEHMAN BROTHERS INC.
February 6, 1974 - February 15, 1988
E. F. HUTTON & COMPANY INC
July 2, 1973 - March 22, 1974
DUPONT WALSTON, INCORPORATED
July 24, 1970 - July 2, 1973
DUPONT GLORE FORGAN INCORPORATED
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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 12/5/1966
Registered Representative ExaminationCurrent Firm
WATERSTONE INVESTMENT COUNSEL, LLC
CRD#: 106639 / SEC#: 801-114090
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 462 |
| AUM (Assets Under Management) | $ 140,720,552 |
Red Flags
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