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JU

James M. Unger

Some features on this profile are disabled
CRD#: 2492377
JU

Professional summary

James Marc Unger was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial advisor and started their career in finance in 1994. Prior to being barred, James had worked at 9 firms, which includes FINANCIAL AMERICA SECURITIES INC., HENNION & WALSH INC., FINTEGRA LLC, SANDERS MORRIS LLC, SMH CAPITAL ADVISORS LLC, RYAN BECK & CO., LADENBURG THALMANN & CO. INC., MESIROW FINANCIAL INC., RODMAN & RENSHAW INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

March 27, 2014 - June 10, 2014

FINANCIAL AMERICA SECURITIES, INC.

BD
CRD#: 5100
CLEVELAND, OH
Past

January 4, 2013 - March 19, 2014

HENNION & WALSH, INC.

BD
CRD#: 25766
BEACHWOOD, OH
Past

March 6, 2009 - January 2, 2013

FINTEGRA, LLC

RIA
CRD#: 16741
MAYFIELD HEIGHTS, OH
Past

March 2, 2009 - January 2, 2013

FINTEGRA, LLC

BD
CRD#: 16741
MAYFIELD HEIGHTS, OH
Past

June 28, 2006 - March 2, 2009

SANDERS MORRIS LLC

RIA
CRD#: 20580
BEACHWOOD, OH
Past

December 5, 2005 - December 31, 2006

SMH CAPITAL ADVISORS LLC

RIA
CRD#: 108344
FORT WORTH, TX
Past

December 1, 2005 - March 2, 2009

SANDERS MORRIS LLC

BD
CRD#: 20580
BEACHWOOD, OH
Past

January 23, 2004 - December 13, 2005

RYAN BECK & CO.

RIA
CRD#: 3248
PEPPER PIKE, OH
Past

February 6, 2003 - December 13, 2005

RYAN BECK & CO.

BD
CRD#: 3248
FLORHAM PARK, NJ
Past

April 11, 1997 - February 4, 2003

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

September 25, 1995 - April 11, 1997

MESIROW FINANCIAL, INC.

BD
CRD#: 2764
CHICAGO, IL
Past

June 2, 1994 - September 25, 1995

RODMAN & RENSHAW INC.

BD
CRD#: 724
CHICAGO, IL

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
IAR
Series 65
Date: 3/1/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/2/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/1/1994
General Securities Representative Examination

Current Firm

FA
FINANCIAL AMERICA SECURITIES, INC.
FINANCIAL AMERICA SECURITIES, INC. | FINANCIAL AMERICA SECURITIES,INC.

CRD#: 5100 / SEC#: , 8-15719

BD
Terminated by SEC on 11/14/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Ohio since 03/04/1970
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
RUKENBROD, JOHN DAVIDPRESIDENT /CHIEF OPERATIONS OFFICER4505254
CONWAY, ROBERT GRAHAMCHIEF COMPLIANCE OFFICER864388
GWYNNE LOUISE RUKENBRODSTOCKHOLDER

Disclosures

Regulatory Event14
Civil Event1
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

FINANCIAL AMERICA SECURITIES, INC.

CRD#: 5100

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