James J. Mcbride
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 Joseph Mcbride III, who also goes by Jim Mcbride III, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2016 - October 10, 2023
NABSECURITIES, LLC
June 22, 2016 - January 3, 2017
NEWCASTLE DISTRIBUTORS LLC
November 1, 2013 - March 2, 2016
COOKE & BIELER, L.P.
July 21, 2011 - October 4, 2013
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
January 3, 2006 - May 24, 2011
FORESIDE FUND SERVICES, LLC
May 15, 2002 - December 31, 2005
CONSTELLATION INVESTMENT DISTRIBUTION COMPANY INC.
March 5, 1998 - June 30, 2000
CAPITAL RESOURCE FINANCIAL SERVICES, L.L.C.
April 20, 1993 - January 30, 1998
SEI INVESTMENTS DISTRIBUTION CO.
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
NABSECURITIES, LLC
CRD#: 47390 / SEC#: , 8-51785
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL AUSTRALIA BANK LIMITED | OWNER | |
| ALLAN-SMITH, JOHN NEVILLE | DIRECTOR / CHAIRMAN OF THE BOARD | 8027334 |
| KIRSCHENBLAT, CHAD ETHAN | FINOP & PFO | 2503352 |
| LESTER, MEREDITH | DIRECTOR | 7426691 |
| LYUBOMIRSKAYA, SVETLANA | DIRECTOR | 2793040 |
| MASCARENHAS, CARLA JANE | DIRECTOR | 6313662 |
| SCHILLING, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER | 2609624 |
| TAIANO, RICHARD LOUIS | PRESIDENT / CEO / DIRECTOR | 3037875 |
Red Flags
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