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JG

James F. Geld

APW CAPITAL
Rockaway, NJ 07866
Some features on this profile are disabled
CRD#: 2694899
JG

Professional summary

James Francis Geld, who also goes by Jim Geld, is a registered financial professional currently at APW CAPITAL, INC. located in Rockaway, New Jersey.

James is registered as a RR (Registered Representative) and started their career in finance in 1996. James has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Geld

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.
1-RETIREMENT TARGETS, INC.; Boca Raton, FL; Service Description: Life and Health Insurance consulting and administration of retirement plans; Start date: 01/01/2008; Title: Managing Principal; Duties: Acquire, manage and perform assignments; Time spent: 50%. 2-AFFORDABLE HEALTH CARE; Boca Raton, FL; Service description: Health insurance; Start date: 01/01/2016; Title: N/A; Duties: Commissions from insurance companies; Time spent: From October 7 through December 15 - 300 hours per month.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Francis Geld's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

January 4, 2006 - Present

APW CAPITAL, INC.

Office #1: 100 Enterprise Drive, Suite 504, Rockaway, NJ 07866
BD
CRD#: 43814
Rockaway, NJ
Past

January 4, 2006 - October 29, 2024

COMPREHENSIVE CAPITAL MANAGEMENT, INC.

RIA
CRD#: 119890
BOCA RATON, FL
Past

June 29, 2004 - December 1, 2005

COMPREHENSIVE CAPITAL MANAGEMENT, INC.

RIA
CRD#: 119890
BOCA RATON, FL
Past

June 15, 2004 - August 4, 2004

APW CAPITAL, INC.

RIA
CRD#: 43814
BOCA RATON, FL
Past

February 21, 2002 - December 1, 2005

APW CAPITAL, INC.

BD
CRD#: 43814
ROCKAWAY, NJ
Past

March 20, 2000 - October 12, 2001

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME
Past

February 27, 1996 - February 25, 2000

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(12/17/2020)
RR
Florida
(1/4/2006)
RR
New Jersey
(1/4/2006)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/29/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/14/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/26/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/18/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AC
APW CAPITAL, INC.
APW CAPITAL, INC. | COMPREHENSIVE ASSET MANAGEMENT AND SERVICING, INC.

CRD#: 43814 / SEC#: , 8-50433

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
100 Enterprise Drive, Suite 504, Rockaway, NJ 07866
Mailing Address
100 Enterprise Drive, Suite 504, Rockaway, NJ 07866
Phone number
(973) 394-0404
Established
New Jersey since 07/03/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SMITH, TIMOTHY LIAMPRESIDENT & FINOP1407004
JENNINGS, CHRISTINASHAREHOLDER4360546
COUTANT, TONYA MARIECHIEF COMPLIANCE OFFICER4585494
JENNINGS, SEANSHAREHOLDER

Disclosures

Regulatory Event2
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

APW CAPITAL, INC.

CRD#: 43814Rockaway, NJ 07866

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