James E. Platek
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 Platek, who also goes by Jim Edward Platek, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 13 firms and has passed the Series 63, SIE 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
March 22, 2017 - October 5, 2017
BROAD STREET CAPITAL MARKETS, LLC
September 10, 2014 - December 8, 2014
B. RILEY WEALTH MANAGEMENT
September 27, 2012 - September 10, 2014
NORTHEAST SECURITIES, LLC
April 23, 2012 - September 20, 2012
AURIA SERVICES CORP.
July 13, 2011 - June 1, 2012
GCFA SECURITIES, LLC
March 3, 2009 - June 7, 2011
AURIA SERVICES CORP.
November 29, 2004 - February 20, 2009
MILLENCO LLC
October 30, 2003 - November 16, 2004
PENSON FINANCIAL SERVICES, INC.
May 12, 2003 - October 28, 2003
MORGAN JOSEPH TRIARTISAN LLC
January 28, 2002 - May 5, 2003
AURIA SERVICES CORP.
September 14, 2000 - August 31, 2001
CROWN FINANCIAL GROUP, INC.
August 15, 1997 - September 30, 1998
MORGAN STANLEY DW INC.
October 1, 1996 - November 6, 1996
SCHRODER & CO. INC.
November 3, 1995 - October 16, 1996
FIELDSTONE PRIVATE CAPITAL GROUP, L.P.
May 5, 1993 - October 29, 1993
PRINTON, KANE GROUP, INC.
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
BROAD STREET CAPITAL MARKETS, LLC
CRD#: 104026 / SEC#: , 8-52487
Contact information
FINRA licenses (13 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
