James M. Lustenberger
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2000 - April 17, 2002
PREFERREDTRADE, INC.
July 17, 1991 - February 23, 2000
LABRANCHE FINANCIAL SERVICES, LLC
July 12, 1990 - July 15, 1991
ADLER COLEMAN & CO., INC.
May 24, 1990 - July 3, 1990
EMMETT A LARKIN COMPANY, INC.
April 21, 1972 - May 24, 1990
BECKMAN & CO., 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 40
Date: 4/13/1972
Registered Principal ExaminationCurrent Firm
PREFERREDTRADE, INC.
CRD#: 10993 / SEC#: , 8-27945
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOUGLAS J. ENGMANN & BARBARA J. ENGMANN 1999 REVOCABLE TRUST | SHAREHOLDER | |
| ENGMANN, MICHAEL WAYNE | CO-CEO | 201435 |
| STIPANICH, NEIL CHARLES | SHAREHOLDER/OWNER | 1913739 |
| BOLD, CHARLES MARK | PRESIDENT/CHIEF OPERATING OFFICER/GENERAL PRINCIPAL | 1023910 |
| ENGMANN, BARBARA JO | TRUSTEE | 4833871 |
| ENGMANN, DOUGLAS JOE | CHAIRMAN/CO-CEO/TRUSTEE | 1132831 |
| HAGNER, CHARLES PHILIP III | EXECUTIVE VP/CHIEF COMPLIANCE OFFICER | 2060754 |
| HANDIN, PHILLIP EUGENE | ASSISTANT SECRETARY | 3065397 |
| MCNULTY, STEPHEN HART | VP/RETAIL SERVICES-GOVERNMENT PRINCIPAL/MSRB PRINCIPAL | 1959617 |
| PATTERSON, DOUGLAS BRIAN | SENIOR VICE PRESIDENT/SROP | 2566967 |
| TAGLE, MICHAEL D | SENIOR VICE PRESIDENT/CHIEF FINANCIAL OFFICER | 3195159 |
| THURM, KARIN CHRISTINE | VICE PRESIDENT/OPERATIONS | 2849259 |
Disclosures
| Regulatory Event | 12 |
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