James L. Brandolino
Professional summary
James Louis Brandolino was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, James had worked at 6 firms, which includes CAPITAL SECURITIES INVESTMENT CORPORATION, DORTCH SECURITIES & INVESTMENTS INC., MF GLOBAL INC., CHARLES SCHWAB & CO. INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2003 - October 31, 2005
CAPITAL SECURITIES INVESTMENT CORPORATION
April 1, 2002 - May 22, 2003
DORTCH SECURITIES & INVESTMENTS, INC.
October 20, 1999 - January 30, 2001
DORTCH SECURITIES & INVESTMENTS, INC.
July 11, 1996 - July 2, 1999
MF GLOBAL INC.
March 10, 1992 - July 25, 1994
CHARLES SCHWAB & CO., INC.
May 8, 1991 - September 25, 1991
IDS LIFE INSURANCE COMPANY
May 8, 1991 - September 25, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
CAPITAL SECURITIES INVESTMENT CORPORATION
CRD#: 5606 / SEC#: , 8-22925
Contact information
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