James W. Mann
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 William Mann was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 5 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2001 - May 13, 2020
BROADSTONE SECURITIES
March 30, 1999 - December 31, 2000
BROOKLIGHT PLACE SECURITIES, INC.
April 6, 1995 - February 16, 1999
BROOKLIGHT PLACE SECURITIES, INC.
April 9, 1987 - April 18, 1995
TRANSAMERICA SECURITIES SALES CORPORATION
March 3, 1972 - April 18, 1995
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 25, 1969 - May 13, 1972
CNA INVESTOR SERVICES, 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 1
Date: 12/13/1967
Registered Representative ExaminationCurrent Firm
BROADSTONE SECURITIES
CRD#: 101600 / SEC#: , 8-52094
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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