James P. Trozze
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 Peter Trozze was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 15 firms and has passed the Series 63, Series 66, SIE, Series 16, Series 1, Series 12 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
December 20, 2016 - December 4, 2017
WINSLOW, EVANS & CROCKER, INC.
May 9, 2016 - December 4, 2017
WINSLOW, EVANS & CROCKER, INC.
May 2, 2011 - April 5, 2016
TRUST AND FIDUCIARY MANAGEMENT SERVICES, INC.
March 4, 2008 - December 31, 2009
WINSLOW, EVANS & CROCKER, INC.
February 26, 2008 - December 31, 2009
WINSLOW, EVANS & CROCKER, INC.
June 22, 2004 - March 17, 2006
UBS FINANCIAL SERVICES INC.
May 17, 2004 - March 17, 2006
UBS FINANCIAL SERVICES INC.
October 8, 2002 - May 26, 2004
A. G. EDWARDS & SONS, INC.
January 20, 1992 - October 4, 2002
MOORS & CABOT, INC.
March 27, 1990 - January 21, 1992
GLEACHER & COMPANY SECURITIES, INC.
November 17, 1988 - April 5, 1990
PERSHING LLC
December 11, 1987 - December 5, 1988
LEHMAN BROTHERS INC.
August 19, 1987 - December 8, 1987
NORTH AMERICAN INVESTMENT CORP.
September 30, 1985 - August 26, 1987
ADVEST, INC.
February 24, 1982 - June 15, 1982
BURGESS & LEITH INCORPORATED
February 18, 1982 - September 30, 1985
BURGESS & LEITH INCORPORATED
February 2, 1982 - February 17, 1982
A. G. EDWARDS & SONS, INC.
March 23, 1981 - February 4, 1982
BURBANK & COMPANY, INC.
August 20, 1976 - April 26, 1981
BURGESS & LEITH INCORPORATED
May 16, 1975 - January 16, 1977
HODGDON & COMPANY
October 26, 1972 - September 9, 1974
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
July 15, 1970 - November 9, 1972
BACHE & CO INCORPORATED
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: 7/9/1970
Registered Representative ExaminationSeries 12
Date: 1/31/1984
NYSE Branch Manager ExaminationCurrent Firm
WINSLOW, EVANS & CROCKER, INC.
CRD#: 29686 / SEC#: 801-63905, 8-44347
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | SOLE SHAREHOLDER | |
| BERLINE, LEONID | CHIEF COMPLIANCE OFFICER | 3027633 |
Disclosures
| Regulatory Event | 4 |
| Bond | 1 |
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.
