James P. Anglim
Professional summary
James Patrick Anglim 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 1999. Prior to being barred, James had worked at 6 firms, which includes PAULSON INVESTMENT COMPANY LLC, SPARTAN SECURITIES GROUP LTD., WORLD TRADE FINANCIAL CORPORATION, THE VERTICAL GROUP, WM. V. FRANKEL & CO. INCORPORATED, TULLETT LIBERTY BROKERAGE INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2019 - October 18, 2022
PAULSON INVESTMENT COMPANY LLC
January 21, 2015 - April 16, 2019
SPARTAN SECURITIES GROUP, LTD.
December 2, 2013 - December 12, 2014
WORLD TRADE FINANCIAL CORPORATION
May 16, 2005 - November 18, 2013
THE VERTICAL GROUP
March 27, 2000 - May 20, 2005
WM. V. FRANKEL & CO., INCORPORATED
July 7, 1999 - May 24, 2000
TULLETT LIBERTY BROKERAGE 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/22/2000
Limited Representative-Equity Trader ExamCurrent Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
Red Flags
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