James D. Vincent
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 Dean Vincent, who also goes by Jim VIncent, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 4 firms and has passed the Series 63, SIE 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
May 3, 2021 - September 1, 2021
CRC-IB
April 6, 2017 - June 22, 2019
CBRE CAPITAL ADVISORS, INC.
January 24, 1997 - March 25, 1999
GE CAPITAL MARKETS, INC.
February 22, 1994 - August 4, 1995
NOMURA SECURITIES INTERNATIONAL, 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
CRC-IB
CRD#: 158736 / SEC#: , 8-68918
Contact information
FINRA licenses (36 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CRC HOLDINGCO, LLC | HOLDING COMPANY/OWNER | |
| KNAPP, NICHOLAS JE | PRESIDENT | 5419499 |
| MCKENNA, CONOR WILLIAM | SENIOR MANAGING DIRECTOR | 4355571 |
| DURDEN, GARY LEE | MANAGING DIRECTOR | 6624221 |
| VON OESEN, BRITTA BENNETT | MANAGING DIRECTOR | 5532329 |
| DURDEN, GARY LEE | CHIEF COMPLIANCE OFFICER | 6624221 |
| HOPKINS, THOMAS JOHN | FINOP, PPO, PFO | 1835087 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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