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JR

James D. Rossi

Some features on this profile are disabled
CRD#: 4183193
JR

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 David Rossi was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2002. James had worked at 8 firms and has passed the Series 63 and Series 62 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 3, 2006 - April 28, 2006

GREAT EASTERN SECURITIES, INC.

BD
CRD#: 2061
NEW YORK, NY
Past

January 26, 2006 - March 27, 2006

CLARK DODGE & CO., INC.

BD
CRD#: 23288
NEW YORK, NY
Past

August 31, 2005 - December 20, 2005

CARLTON CAPITAL INC.

BD
CRD#: 42533
NEW YORK, NY
Past

May 27, 2005 - October 4, 2005

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

April 11, 2005 - June 10, 2005

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

March 9, 2004 - April 26, 2004

S.W. BACH & COMPANY

BD
CRD#: 43522
PORT WASHINGTON, NY
Past

January 7, 2004 - March 8, 2004

CANTONE RESEARCH INC.

BD
CRD#: 26314
EATONTOWN, NJ
Past

January 6, 2003 - September 22, 2003

CANTONE RESEARCH INC.

BD
CRD#: 26314
EATONTOWN, NJ
Past

October 29, 2002 - December 9, 2002

CANTONE RESEARCH INC.

BD
CRD#: 26314
EATONTOWN, NJ
Past

August 26, 2002 - October 1, 2002

THOMAS FLETCHER & COMPANY, INC.

BD
CRD#: 43675
NEW YORK, NY
Past

March 14, 2002 - September 3, 2002

CANTONE RESEARCH INC.

BD
CRD#: 26314
EATONTOWN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/23/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 62
Date: 3/13/2002
Corporate Securities Limited Representative Examination

Current Firm

GE
GREAT EASTERN SECURITIES, INC.
GREAT EASTERN SECURITIES, INC.

CRD#: 2061 / SEC#: , 8-16880

BD
Cancelled by SEC on 02/25/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 11/18/1971
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GREAT EASTERN HOLDINGS, INC.SHAREHOLDER
SHANI, YEHESUEL HARRYBRANCH MANAGER4413381
ZADIKOW, IRA MARCROBERTSCROP / CROP1385075

Disclosures

Regulatory Event9
Arbitration5

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.

Company Information

GREAT EASTERN SECURITIES, INC.

CRD#: 2061

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