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JC

James M. Clemente

Some features on this profile are disabled
CRD#: 2313690
JC

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 Michael Clemente, who also goes by James Michel Clemente, 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 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Michel Clemente

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 4, 2008 - November 5, 2009

PEAK SECURITIES CORPORATION

BD
CRD#: 107907
LARGO, FL
Past

May 25, 2004 - March 6, 2006

FRANKLIN ROSS, INC.

BD
CRD#: 43610
PRINCETON, NJ
Past

November 1, 1999 - July 5, 2002

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

March 13, 1998 - May 8, 1998

THE CAMELOT GROUP, INC.

BD
CRD#: 31091
FT LAUDERDALE, FL
Past

May 28, 1996 - February 25, 1998

DANALLEN INVESTMENT GROUP INC.

BD
CRD#: 38968
ASTORIA, NY
Past

June 1, 1995 - October 18, 1995

LANDMARK INTERNATIONAL EQUITIES

BD
CRD#: 25098
WESTBURY, NY
Past

March 10, 1995 - March 24, 1995

BEACON SECURITIES, INC.

BD
CRD#: 15300
NEW YORK, NY
Past

October 29, 1993 - December 10, 1993

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/16/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/27/1993
General Securities Representative Examination

Current Firm

PS
PEAK SECURITIES CORPORATION
INTER-AMERICAN SECURITIES, INC. | PEAK SECURITIES CORPORATION

CRD#: 107907 / SEC#: , 8-53066

BD
Terminated by SEC on 03/08/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 10/02/2000
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PEAK CAPITAL CORPORATIONOWNER
DUBE, DAVID WILLIAMPRESIDENT/CHIEF COMPLIANCE OFFICER3041983
MICHEL, JEFFREY WAYNEVICE PRESIDENT/REGISTERED OPTIONS PRINCIPAL & SROP/CROP2307698
PIDGEON, PHILLIP DFINANCIAL AND OPERATIONS PRINCIPAL4451631

Disclosures

Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PEAK SECURITIES CORPORATION

CRD#: 107907

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