James D. Green

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CRD#: 2124467

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 Dale Green JR was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1991. James had worked at 10 firms and has passed the Series 63, Series 7, Series 14, Series 8, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 12, 2002 - March 26, 2003

CHICAGO INVESTMENT GROUP, LLC

CRD#: 11853

CHICAGO, IL

Past

April 12, 2002 - April 22, 2003

CLEMENTS COMPANY INVESTMENT ADVISORS

CRD#: 47000

SAN DIEGO, CA

Past

October 27, 1998 - April 17, 2001

HAMPTON-PORTER, INVESTMENT BANKERS, A CALIFORNIA LLC

CRD#: 42949

SAN DIEGO, CA

Past

February 17, 1998 - December 30, 1998

FORTRESS FINANCIAL GROUP, LTD.

CRD#: 42414

ISLE OF PALMS, SC

Past

October 8, 1997 - February 23, 1998

RICHMARK CAPITAL CORPORATION

CRD#: 43162

IRVING, TX

Past

January 3, 1996 - September 15, 1997

RICKEL & ASSOCIATES, INC.

CRD#: 7839

NEW YORK, NY

Past

May 3, 1995 - January 16, 1996

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407

NEWPORT BEACH, CA

Past

June 29, 1994 - March 31, 1995

A. T. BROD & CO. INC.

CRD#: 1319

CLEVELAND, OH

Past

July 15, 1992 - July 8, 1994

DICKINSON & CO.

CRD#: 689

DES MOINES, IA

Past

February 21, 1991 - July 28, 1992

J. W. GANT & ASSOCIATES, INC.

CRD#: 7963

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 3/4/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/20/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 11/25/1994

Compliance Officer Examination

Principal/Supervisory Exam

Series 8

Date: 9/1/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 4

Date: 11/2/1993

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/8/1993

General Securities Principal Examination

Current Firm

CHICAGO INVESTMENT GROUP, LLC

CHICAGO INVESTMENT GROUP | G. A. O. INC. | G A O INC | CHICAGO INVESTMENT GROUP, LLC | CHICAGO INVESTMENT GROUP, INC.

CRD#: 11853 / SEC#: , 8-27507

Terminated by SEC on 09/07/2010

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Contact information

Main Address

Mailing Address

Phone number

Established

Illinois since 01/01/2002

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
COMPASS CAPITAL MANAGEMENT INTERNATIONAL, LLC	OWNER
MERRITT HOLDINGS II LLC	SHAREHOLDER
BULLARD, ROBERT JONATHAN	OPS. MGR / RSOFP	2975440
LYNCH, JAMES PATRICK	MANAGING DIRECTOR	2387056
LYNCH, RICHARD PAUL	CEO/ CCO	1938604

Disclosures

Regulatory Event	16
Arbitration	2

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.

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Firm Stability Insights

James D. Green

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CLEMENTS COMPANY INVESTMENT ADVISORS

HAMPTON-PORTER, INVESTMENT BANKERS, A CALIFORNIA LLC

FORTRESS FINANCIAL GROUP, LTD.

RICHMARK CAPITAL CORPORATION

RICKEL & ASSOCIATES, INC.

ROTH CAPITAL PARTNERS, LLC

A. T. BROD & CO. INC.

DICKINSON & CO.

J. W. GANT & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/4/1991

Series 7

Date: 2/20/1991

Series 14

Date: 11/25/1994

Series 8

Date: 9/1/1994

Series 4

Date: 11/2/1993

Series 24

Date: 2/8/1993

Current Firm

CHICAGO INVESTMENT GROUP, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CHICAGO INVESTMENT GROUP, LLC

TRUST BUT VERIFY

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