James W. Carpenter
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 Webb Carpenter, who also goes by Jim Carpenter, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 16 firms and has passed the Series 63, Series 15, Series 1, Series 4, Series 12 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
November 19, 1998 - September 17, 1999
BUCKMAN, BUCKMAN & REID, INC.
July 17, 1995 - September 8, 1998
HYPO SECURITIES INC.
December 2, 1994 - June 20, 1995
SGI, LLC
July 11, 1994 - September 22, 1994
WALL STREET ACCESS
April 25, 1994 - May 23, 1994
MASCERA & CO., INC.
July 28, 1989 - April 15, 1994
FEELEY & WILLCOX SECURITIES CORP.
April 28, 1988 - July 3, 1989
CITICORP SECURITIES SERVICES, INC.
April 22, 1987 - April 5, 1988
ROBERT FLEMING INC.
September 12, 1985 - March 25, 1987
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
September 26, 1978 - August 26, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 19, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
May 5, 1977 - June 9, 1977
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
June 17, 1975 - May 5, 1977
SPENCER TRASK & CO. INCORPORATED
July 26, 1973 - July 7, 1975
TUCKER ANTHONY INCORPORATED
February 9, 1971 - August 19, 1973
DRYFOOS & CO.
December 1, 1970 - January 28, 1971
JANNEY MONTGOMERY SCOTT LLC
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 15
Date: 8/16/1989
Foreign Currency Options ExaminationSeries 1
Date: 10/6/1958
Registered Representative ExaminationSeries 12
Date: 3/3/1976
NYSE Branch Manager ExaminationSeries 40
Date: 2/23/1976
Registered Principal ExaminationCurrent Firm
BUCKMAN, BUCKMAN & REID, INC.
CRD#: 23407 / SEC#: , 8-40413
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JTC HOLDINGS LLC | SHARE HOLDER | |
| GIAKAS, WALLACE MARTIN | STOCKHOLDER | 1068278 |
| LAU, PETER SEN | STOCKHOLDER | 2302677 |
| YANG, ZHAO | SHAREHOLDER | 6077274 |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| BUCKMAN, HARRY JOHN | CHAIRMAN, RSOP | 1090909 |
| BUCKMAN, HARRY JOHN JR | SR. VICE PRESIDENT | 2202467 |
| BUCKMAN, MARY | STOCKHOLDER | 5823239 |
| BUCKMAN, THOMAS PAUL | SECRETARY | 2577168 |
| CAMPOLI, JOHN | SHAREHOLDER | 6596748 |
| PANNO, RICHARD ANTHONY | CHIEF COMPLIANCE OFFICER | 724727 |
| SHOICHET, MARK ELLIOTT | STOCKHOLDER | 2301353 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
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.
