James E. Boemmel
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 Edward Boemmel was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 7 firms and has passed the Series 66, 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
August 28, 2013 - May 23, 2014
NATIONAL SECURITIES CORPORATION
March 20, 2009 - September 6, 2011
RAYMOND JAMES & ASSOCIATES, INC.
March 19, 2009 - September 6, 2011
RAYMOND JAMES & ASSOCIATES, INC.
May 4, 2005 - March 26, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 9, 2003 - May 11, 2005
A. G. EDWARDS & SONS, INC.
July 6, 2001 - May 11, 2005
A. G. EDWARDS & SONS, INC.
November 22, 1995 - July 25, 2001
WELLS FARGO CLEARING SERVICES, LLC
September 16, 1992 - November 6, 1995
CITIGROUP GLOBAL MARKETS INC.
February 3, 1992 - August 25, 1992
CIBC WORLD MARKETS 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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
