James S. Boshart
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 Stewart Boshart III, who also goes by James Stewart Boshart, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 9 firms and has passed the Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2004 - February 9, 2005
J.P. MORGAN SECURITIES INC.
September 19, 2000 - August 2, 2004
BANC ONE CAPITAL MARKETS, INC.
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
October 17, 1990 - September 12, 2000
CITIGROUP GLOBAL MARKETS INC.
September 22, 1988 - January 26, 1989
STAMFORD CAPITAL, STERLING GRACE & CO., INC.
June 26, 1984 - November 25, 1989
LEHMAN BROTHERS INC.
February 28, 1978 - June 26, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 1, 1976 - October 1, 1980
LEHMAN SPECIAL SECURITIES INC.
May 13, 1971 - February 28, 1978
LEHMAN BROTHERS INCORPORATED
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
Series 1
Date: 5/10/1971
Registered Representative ExaminationSeries 40
Date: 6/3/1976
Registered Principal ExaminationCurrent Firm
J.P. MORGAN SECURITIES INC.
CRD#: 18718 / SEC#: , 8-36950
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN SECURITIES HOLDINGS LLC | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | |
| BLACK, STEVEN DAVIS | CEO, CHAIRPERSON, DIRECTOR, MANAGING DIRECTOR | 801694 |
| BLESER, PHILIP FRANCIS | DIRECTOR | 4506044 |
| BRAUNSTEIN, DOUGLAS LEE | DIRECTOR AND MANAGING DIRECTOR | 1542814 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER AND SR. MANAGING DIRECTOR | 2725065 |
| ERDOES, MARY ELIZABETH | DIRECTOR | 2502095 |
| FITZGERALD, LISA JOAN | TREASURER AND MANAGING DIRECTOR | 1542376 |
| GENOVA, DIANE M | CHIEF LEGAL OFFICER AND MANAGING DIRECTOR | 5558897 |
| HERNANDEZ, CARLOS M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR | 2647255 |
| HORAN, ANTHONY JAMES | SECRETARY AND SR. VICE PRESIDENT | 1970798 |
| JOHNSON, GREGORY JUDE | CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE, MANAGING DIRECTOR | 2611617 |
| SULLIVAN, MARGARET MARY | DIRECTOR, CHIEF OPERATIONS OFFICER, EXECUTIVE DIRECTOR | 1940830 |
Disclosures
| Regulatory Event | 103 |
| Civil Event | 3 |
| Arbitration | 2 |
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.
