James P. Mcbaine
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 Patterson Mcbaine was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 4 firms and has passed the Series 63, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 1997 - January 17, 2013
GRUBER & MCBAINE
January 15, 1987 - February 17, 1988
LEWCO SECURITIES CORP.
February 16, 1973 - July 19, 1988
HAMBRECHT & QUIST LLC
May 13, 1971 - December 8, 1972
WILLIAM HUTCHINSON & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 3/31/1978
AMEX Put and Call ExamSeries 1
Date: 4/29/1971
Registered Representative ExaminationSeries 40
Date: 7/20/1978
Registered Principal ExaminationCurrent Firm
GRUBER & MCBAINE
CRD#: 125336 / SEC#: 801-61836
Contact information
Red Flags
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