James R. Buschle
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 Richard Buschle JR, who also goes by James R Buschle Jr, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 6 firms and has passed the Series 63 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
January 19, 2000 - November 12, 2001
NATIONAL SECURITIES CORPORATION
April 16, 1998 - February 16, 2000
PROFESSIONAL CONCEPTS & PLANNING, INC.
February 27, 1997 - March 25, 1998
RENAISSANCE FINANCIAL SECURITIES CORP.
August 11, 1995 - January 21, 1997
STERLING FOSTER & COMPANY, INC.
May 9, 1995 - July 20, 1995
FAIRCHILD FINANCIAL GROUP, INC.
June 27, 1994 - May 11, 1995
STERLING FOSTER & COMPANY, INC.
June 23, 1993 - July 5, 1994
J. GREGORY & COMPANY, 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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
