James M. Frace
Professional summary
James Michael Frace was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, James had worked at 7 firms, which includes PLATINUM INVESTMENT CORP., ITRADEDIRECT.COM CORP, STERLING FINANCIAL INVESTMENT GROUP INC., LH ROSS & COMPANY INC., BERRY-SHINO SECURITIES INC., MILLENNIUM SECURITIES CORP., WALSH MANNING SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2002 - October 15, 2002
PLATINUM INVESTMENT CORP.
February 19, 2002 - May 9, 2002
ITRADEDIRECT.COM CORP
October 12, 2001 - October 24, 2001
STERLING FINANCIAL INVESTMENT GROUP, INC.
June 11, 2001 - February 21, 2002
LH ROSS & COMPANY, INC.
March 19, 2001 - August 3, 2001
BERRY-SHINO SECURITIES, INC.
June 14, 1997 - March 20, 2001
MILLENNIUM SECURITIES CORP.
October 25, 1996 - June 27, 1997
WALSH MANNING SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
PLATINUM INVESTMENT CORP.
CRD#: 107211 / SEC#: , 8-53034
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RDC, INC. | OWNER/SHAREHOLDER | |
| ANTONUCCI, DOMINIC | PRESIDENT/SROP/CROP | 3215807 |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
Red Flags
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