James H. Cartwright
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 Henry Cartwright III, who also goes by James Henry Cartwright, Jim Cartwright, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 10 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 1991 - September 30, 1991
MORGAN STANLEY DW INC.
June 27, 1989 - February 6, 1990
ROSE SECURITIES CORPORATION
August 4, 1988 - May 2, 1989
CAMERON, MURPHY & SPANGLER, INC.
April 3, 1987 - June 20, 1988
HARBOR AMERICAN INVESTMENT GROUP, INC.
October 19, 1984 - March 11, 1986
PSI SECURITIES CORPORATION
April 20, 1983 - August 22, 1983
THE SAND HILL CORPORATION
August 25, 1977 - April 26, 1983
TREXCO SECURITIES, INC.
April 15, 1975 - June 28, 1976
INTEGRATED RESOURCES EQUITY CORPORATION
May 28, 1974 - September 23, 1974
MOUNTAIN PACIFIC INVESTMENT CO.
June 1, 1970 - February 26, 1974
HUSKIN SECURITIES CORP
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: 10/17/1962
Registered Representative ExaminationCurrent Firm
MORGAN STANLEY DW INC.
CRD#: 7556 / SEC#: , 8-14172
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY | PARENT | |
| CHENG, NOLAND | CHIEF OPERATIONS OFFICER | 2072097 |
| CIMINERA, LAURA | CROP | 1388279 |
| GELFAND, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER | |
| GORMAN, JAMES PATRICK | PRESIDENT,CHIEF OPERATING OFFICER,CHIEF EXECUTIVE OFFICER | 4026328 |
| GUEREN, RICHARD DANIEL | SROP, EXECUTIVE DIRECTOR | 1146589 |
| HANAN, SHELLEY SUZANNE | DIRECTOR | 1327260 |
| HARRIS, RAYMOND ALBERT JR | DIRECTOR | 1363371 |
| KNAPP, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER FOR ADVISORY BUSINESS | 2514353 |
| MCMAHON, WILLIAM A | MANAGING DIRECTOR | 703705 |
| OROSCHAKOFF, MICHELLE | COMPLIANCE DIRECTOR FOR BROKER DEALER | 2403199 |
| WICKMAN, KIRK PETER | GENERAL COUNSEL, MANAGING DIRECTOR, DIRECTOR |
Disclosures
| Regulatory Event | 152 |
| Arbitration | 606 |
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.
