James E. Greenfield
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 Greenfield was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 8 firms and has passed the Series 63, Series 1, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 1988 - December 6, 1988
U.S. SECURITIES CLEARING CORP.
November 28, 1984 - March 18, 1985
FIRST UNION SECURITIES INC
April 30, 1982 - June 28, 1982
BLACKWELL DONALDSON & COMPANY
January 22, 1982 - June 1, 1984
AMERITRADE NORTHWEST, INC.
May 23, 1977 - November 17, 1988
GREENFIELD/CAMPBELL, INC.
August 10, 1973 - March 1, 1977
PAULSON INVESTMENT COMPANY LLC
December 8, 1970 - August 10, 1973
FIRST CASCADES SECURITIES
July 1, 1970 - June 28, 1971
T.E. SLANKER COMPANY
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
Series 1
Date: 11/12/1965
Registered Representative ExaminationSeries 00
Date: 6/27/1969
General Securities Principal ExaminationCurrent Firm
U.S. SECURITIES CLEARING CORP.
CRD#: 15403 / SEC#: , 8-32095
Contact information
Documents
Red Flags
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