James F. Lummanick
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 Frank Lummanick was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 6 firms and has passed the Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2011 - June 8, 2012
CURIAN CLEARING, LLC
June 30, 2005 - April 5, 2010
OLD MUTUAL INVESTMENT PARTNERS
August 3, 2004 - June 13, 2005
CALAMOS FINANCIAL SERVICES LLC
January 28, 2004 - April 27, 2004
INVESCO DISTRIBUTORS, INC.
August 27, 1996 - December 31, 2003
INVESCO DISTRIBUTORS, INC.
January 10, 1996 - May 3, 1996
LEGG MASON WOOD WALKER, INCORPORATED
April 20, 1994 - January 10, 1996
BARTLETT & CO.
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
CURIAN CLEARING, LLC
CRD#: 132938 / SEC#: , 8-66660
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JACKSON NATIONAL LIFE INSURANCE COMPANY | OWNER | |
| COLLINS, MAURA KATHRYN | SVP, CFO | 4761732 |
| HAJDU, ROBERT WILLIAM | SENIOR VICE PRESIDENT | 4769897 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LOWRY, KRISTINE MARIE | FINOP, VP, CONTROLLER | 4168279 |
| MANDICH, MARK BERNARD | DIRECTOR | 4352167 |
| MILLER, JAMES PETER | PRESIDENT AND CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER | 1955960 |
| MYERS, PAUL CHADWICK | DIRECTOR | 1863982 |
| WETHERELL, WESTON BARTLEY | SVP, GENERAL COUNSEL | 1172113 |
| WRIGHT, DANIEL EUGENE | SVP, CHIEF COMPLIANCE OFFICER | 2204732 |
Disclosures
| Regulatory Event | 1 |
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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