James Han
Professional summary
James Han was barred by the FINRA 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 3 firms, which includes LANDMARK SECURITIES CORPORATION, ICAPITAL MARKETS LLC, CROWN FINANCIAL GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 1998 - March 24, 1999
LANDMARK SECURITIES CORPORATION
September 17, 1997 - April 13, 1998
ICAPITAL MARKETS LLC
March 25, 1996 - October 17, 1996
CROWN FINANCIAL GROUP, INC.
State Registrations and Notice Filings
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Exams
Current Firm
LANDMARK SECURITIES CORPORATION
CRD#: 39506 / SEC#: , 8-48732
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GILLOCK, JAMES CLIFTON | PRESIDENT CEO | 1215677 |
| WILSON, ROBERT JOSEPH | CFO FINOP CCO |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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