James M. Clement
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 Martin Clement, who also goes by Jamie Clement, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2002. James had worked at 4 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2021 - June 7, 2022
STUART FRANKEL & CO., INCORPORATED
March 20, 2018 - March 24, 2020
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
October 21, 2014 - April 26, 2018
MACQUARIE CAPITAL (USA) INC.
February 26, 2002 - September 8, 2014
SIDOTI & COMPANY, 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
Current Firm
STUART FRANKEL & CO., INCORPORATED
CRD#: 14593 / SEC#: , 8-17419
Contact information
FINRA licenses (6 States and Territories)
Disclosures
| Regulatory Event | 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.
