James B. Raphalian
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 Bruce Raphalian was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 11 firms and has passed the Series 63, SIE, Series 55, Series 1, Series 8 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
August 16, 2013 - October 11, 2016
HIGHLANDER CAPITAL GROUP, INC.
August 30, 2010 - September 9, 2011
GLEACHER & COMPANY SECURITIES, INC.
November 27, 2008 - August 19, 2010
HIGHLANDER CAPITAL GROUP, INC.
October 29, 2004 - July 27, 2007
UBS SECURITIES LLC
July 25, 2002 - November 1, 2004
CHARLES SCHWAB & CO., INC.
March 19, 2002 - November 1, 2004
UBS CAPITAL MARKETS L.P.
July 6, 1998 - March 13, 2002
COWEN AND COMPANY
May 5, 1994 - June 24, 1998
JOSEPHTHAL & CO., INC.
April 4, 1985 - May 22, 1992
CREDIT SUISSE SECURITIES (USA) LLC
April 25, 1983 - April 15, 1985
PRUDENTIAL EQUITY GROUP, LLC
January 31, 1980 - May 4, 1983
UBS FINANCIAL SERVICES INC.
May 1, 1969 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 2/18/1999
Limited Representative-Equity Trader ExamSeries 1
Date: 4/29/1969
Registered Representative ExaminationSeries 8
Date: 6/25/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 11/7/1977
Registered Principal ExaminationCurrent Firm
HIGHLANDER CAPITAL GROUP, INC.
CRD#: 19074 / SEC#: , 8-37169
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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