James R. Kuster
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 Richard Kuster was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 7 firms and has passed the Series 63, Series 79TO, Series 62, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2021 - December 7, 2022
PICKWICK CAPITAL PARTNERS, LLC
February 17, 2016 - January 29, 2019
CITIZENS CAPITAL MARKETS
December 21, 2012 - February 18, 2016
CITIZENS SECURITIES, INC.
December 12, 2008 - January 17, 2013
NATWEST MARKETS SECURITIES INC.
March 29, 2005 - December 12, 2008
RBS SECURITIES CORPORATION
July 4, 2003 - August 30, 2004
CREST EVERGREEN SECURITIES, INC.
April 7, 1997 - April 1, 1999
J.P. MORGAN SECURITIES INC.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationCurrent Firm
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ABRAMCZYK, JANE E | CCO | 4801666 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
Red Flags
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