James Fink
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 Fink, who also goes by James Allen Fink, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 6 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2023 - January 12, 2026
SIGULER GUFF GLOBAL MARKETS, LLC
November 24, 2020 - April 11, 2023
NUVEEN SECURITIES, LLC
June 12, 2019 - September 23, 2020
PARK AVENUE SECURITIES LLC
March 19, 2009 - December 3, 2018
BARINGS SECURITIES LLC
April 27, 2004 - April 19, 2007
PNC CAPITAL MARKETS LLC
July 27, 2000 - November 19, 2003
BANC OF AMERICA SECURITIES LLC
June 25, 1999 - July 20, 2000
PNC CAPITAL MARKETS LLC
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
Current Firm
SIGULER GUFF GLOBAL MARKETS, LLC
CRD#: 159534 / SEC#: , 8-68996
Contact information
FINRA licenses (52 States and Territories)
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.
