James E. Green
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 Eugene Green, who also goes by Gene Green, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1965. James had worked at 8 firms and has passed the Series 65, Series 63, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2009 - January 27, 2012
RIDGEWAY & CONGER, INC.
March 27, 2002 - October 2, 2009
WFG INVESTMENTS, INC.
March 2, 1998 - April 3, 2002
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
December 8, 1995 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
September 4, 1990 - December 8, 1995
WELLS FARGO CLEARING SERVICES, LLC
November 13, 1989 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
January 13, 1965 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 8/25/1977
AMEX Put and Call ExamSeries 1
Date: 12/28/1964
Registered Representative ExaminationSeries 40
Date: 8/22/1969
Registered Principal ExaminationCurrent Firm
RIDGEWAY & CONGER, INC.
CRD#: 113055 / SEC#: , 8-53291
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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