Christopher W. James
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.
Christopher Wendell James, who also goes by Christopher W. James, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2001. Christopher had worked at 8 firms and has passed the Series 63, Series 55, Series 25, Series 7, Series 10, Series 9, Series 4 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
September 19, 2012 - May 16, 2014
UNITED FIRST PARTNERS LLC
August 11, 2011 - July 24, 2012
RODMAN & RENSHAW, LLC
July 30, 2009 - September 6, 2011
BROOKVIEW CAPITAL LLC
April 14, 2008 - November 20, 2008
HAPOALIM SECURITIES USA, INC.
September 30, 2004 - July 12, 2007
NEWEDGE USA, LLC
February 27, 2002 - March 3, 2003
NANDRA GROUP, INC.
January 17, 2002 - September 27, 2004
BURLINGTON CAPITAL MARKETS INC.
October 5, 2001 - December 21, 2001
ARMATO 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 55
Date: 7/9/2003
Limited Representative-Equity Trader ExamSeries 25
Date: 2/24/2003
NYSE Trading Assistant ExaminationCurrent Firm
UNITED FIRST PARTNERS LLC
CRD#: 155456 / SEC#: , 8-68718
Contact information
FINRA licenses (14 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HADJEDJ, MICHAEL SIMON | PRESIDENT, ELECTED MANAGER | 5854635 |
| MARDEL, STEPHANE CHARLES | CO-PRESIDENT | 5854634 |
| DICKERSON, ELIZABETH ANNE | CHIEF COMPLIANCE OFFICER | 1917497 |
| DOHERTY, JAMES HUGH | PRINCIPAL OPERATIONS OFFICER | 4197747 |
| SINELNIKOV, PETER SERGEY | PRINCIPAL FINANCIAL OFFICER | 6493208 |
| UNITED FIRST PARTNERS HOLDINGS, LLC | SOLE MEMBER |
Disclosures
| Regulatory Event | 4 |
Red Flags
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