James Fink
Professional summary
James Fink, who also goes by James Allen Fink, is a registered financial professional currently at SIGULER GUFF GLOBAL MARKETS, LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1999. James has 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) - BD
Click below to view James Fink's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 1, 2023 - Present
SIGULER GUFF GLOBAL MARKETS, LLC
Office #1: 200 Park Avenue 14th Floor, New York, NY, 10166November 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
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Visual representation of state registrations
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Exams
FINRA
Current Firm
SIGULER GUFF GLOBAL MARKETS, LLC
CRD#: 159534 / SEC#: , 8-68996
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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