James A. Mayer
Professional summary
James Albert Mayer JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, James had worked at 4 firms, which includes SEABOARD SECURITIES INC., MEYERS POLLOCK ROBBINS INC., PRESTON LANGLEY ASSET MANAGEMENT INC., CONTINENTAL BROKER-DEALER CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 1997 - December 8, 1997
SEABOARD SECURITIES, INC.
January 23, 1997 - September 23, 1997
MEYERS POLLOCK ROBBINS, INC.
May 1, 1996 - January 27, 1997
PRESTON LANGLEY ASSET MANAGEMENT, INC.
November 29, 1993 - September 18, 1995
CONTINENTAL BROKER-DEALER CORP.
State Registrations and Notice Filings
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Exams
Current Firm
SEABOARD SECURITIES, INC.
CRD#: 755 / SEC#: , 8-44373
Contact information
Documents
Disclosures
| Regulatory Event | 26 |
| Arbitration | 8 |
| Bond | 1 |
Red Flags
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