James E. Moltz
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 Edward Moltz was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1965. James had worked at 6 firms and has passed the Series 63, Series 65 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2015 - July 16, 2025
C.J. LAWRENCE
March 10, 2015 - August 20, 2015
EMPIRE ASSET MANAGEMENT COMPANY
September 18, 2007 - April 23, 2015
INTERNATIONAL STRATEGY & INVESTMENT INC
August 2, 2001 - April 6, 2015
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
April 28, 1999 - July 16, 2001
NORTHEAST SECURITIES, LLC
October 1, 1965 - May 10, 1999
DEUTSCHE BANK SECURITIES 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
Current Firm
C.J. LAWRENCE
CRD#: 174034 / SEC#: 801-80786
Contact information
Regulatory assets under management
| Total Number of Accounts | 386 |
| AUM (Assets Under Management) | $ 591,464,438 |
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.
