James B. Chase
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 Burling Chase, who also goes by James B Chase, James Chase Pullen, 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, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 1995 - December 22, 1997
SOUTH BEACH CAPITAL MARKETS INCORPORATED
February 20, 1992 - May 24, 1995
MEGARIAN, INC.
January 16, 1980 - December 31, 1991
ROBERT W. BAIRD & CO. INCORPORATED
August 6, 1971 - January 16, 1980
ROBERT W. BAIRD & CO. INCORPORATED
December 22, 1969 - August 6, 1971
ROBERT W BAIRD & CO
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: 12/15/1969
Registered Representative ExaminationCurrent Firm
SOUTH BEACH CAPITAL MARKETS INCORPORATED
CRD#: 30003 / SEC#: , 8-44626
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLLOPY, JOHN FRANCIS JR | PRESIDENT | 51410 |
| FOERSTER, BRUCE SOMERNDIKE | MANAGING DIRECTOR | 210476 |
| BLUM, HOWARD LOURIA JR | INVESTOR | |
| COMMSCAN LLC | INVESTOR | |
| CSJ INVESTMENT LLC | INVESTOR | |
| HERZOG, JOHN EDWARD | INVESTOR | |
| KELSEY, JOHN LOVELAND | INVESTOR | |
| LEHMAN BUSINESS TRUST | INVESTOR | |
| STREETER, SABIN C | INVESTOR | |
| TREUHOLD, CHARLES RICHARD | INVESTOR |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
