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JL

James M. Lustenberger

Some features on this profile are disabled
CRD#: 314718
JL

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 Michael Lustenberger was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1972. James had worked at 5 firms and has passed the Series 40 exam.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 24, 2000 - April 17, 2002

PREFERREDTRADE, INC.

BD
CRD#: 10993
SAN FRANCISCO, CA
Past

July 17, 1991 - February 23, 2000

LABRANCHE FINANCIAL SERVICES, LLC

BD
CRD#: 7432
NEW YORK, NY
Past

July 12, 1990 - July 15, 1991

ADLER COLEMAN & CO., INC.

BD
CRD#: 16104
NEW YORK, NY
Past

May 24, 1990 - July 3, 1990

EMMETT A LARKIN COMPANY, INC.

BD
CRD#: 6625
SAN FRANCISCO, CA
Past

April 21, 1972 - May 24, 1990

BECKMAN & CO., INC.

BD
CRD#: 80

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Principal/Supervisory Exam
RR
Series 40
Date: 4/13/1972
Registered Principal Examination

Current Firm

PI
PREFERREDTRADE, INC.
PREFERRED CAPITAL MARKETS, INC. | PREFERREDTRADE, INC. | PREFERRED TECHNOLOGY, INC.

CRD#: 10993 / SEC#: , 8-27945

BD
Terminated by SEC on 10/28/2005
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
California since 04/12/1982
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DOUGLAS J. ENGMANN & BARBARA J. ENGMANN 1999 REVOCABLE TRUSTSHAREHOLDER
ENGMANN, MICHAEL WAYNECO-CEO201435
STIPANICH, NEIL CHARLESSHAREHOLDER/OWNER1913739
BOLD, CHARLES MARKPRESIDENT/CHIEF OPERATING OFFICER/GENERAL PRINCIPAL1023910
ENGMANN, BARBARA JOTRUSTEE4833871
ENGMANN, DOUGLAS JOECHAIRMAN/CO-CEO/TRUSTEE1132831
HAGNER, CHARLES PHILIP IIIEXECUTIVE VP/CHIEF COMPLIANCE OFFICER2060754
HANDIN, PHILLIP EUGENEASSISTANT SECRETARY3065397
MCNULTY, STEPHEN HARTVP/RETAIL SERVICES-GOVERNMENT PRINCIPAL/MSRB PRINCIPAL1959617
PATTERSON, DOUGLAS BRIANSENIOR VICE PRESIDENT/SROP2566967
TAGLE, MICHAEL DSENIOR VICE PRESIDENT/CHIEF FINANCIAL OFFICER3195159
THURM, KARIN CHRISTINEVICE PRESIDENT/OPERATIONS2849259

Disclosures

Regulatory Event12

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

PREFERREDTRADE, INC.

CRD#: 10993

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