James E. Farmer
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 Edward Farmer was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2002. James had worked at 3 firms and has passed the Series 7 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
November 13, 2006 - June 28, 2012
CME BD SERVICES, INC.
June 10, 2005 - April 5, 2006
GLOBAL EXECUTION BROKERS, LP
June 7, 2002 - September 5, 2006
SUSQUEHANNA FINANCIAL GROUP, LLLP
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
CME BD SERVICES, INC.
CRD#: 42575 / SEC#: , 8-49885
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CME GROUP INDEX SERVICES LLC | SHAREHOLDER | |
| CIUBA, RICHARD ANTHONY | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4383761 |
| PETRONELLA, MICHAEL ALLEN | DIRECTOR |
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.
