James C. Gassman
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 Craig Gassman, who also goes by Jim Gassman, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 5 firms and has passed the Series 66, 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
March 13, 2013 - November 1, 2019
THORNBURG INVESTMENT MANAGEMENT INC
August 5, 2011 - November 1, 2019
THORNBURG SECURITIES LLC
April 24, 2008 - June 17, 2011
ROBERT W. BAIRD & CO. INCORPORATED
October 10, 2006 - June 17, 2011
ROBERT W. BAIRD & CO. INCORPORATED
August 30, 2000 - October 3, 2005
INVESCO DISTRIBUTORS, INC.
February 24, 1999 - August 16, 2000
HILLTOP SECURITIES INC.
Primary Firm SEC Registration
THORNBURG INVESTMENT MANAGEMENT INC
CRD#: 106357 / SEC#: 801-17853
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
THORNBURG INVESTMENT MANAGEMENT INC
CRD#: 106357 / SEC#: 801-17853
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 705 |
| AUM (Assets Under Management) | $ 45,288,445,586 |
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.
