James Wolpert
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 Wolpert was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 10 firms and has passed the Series 63, SIE, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 2014 - July 28, 2015
AXIOM CAPITAL MANAGEMENT, INC.
August 5, 1992 - December 2, 2014
LOEB PARTNERS CORPORATION
February 8, 1990 - August 10, 1992
LCP CAPITAL CORP.
August 13, 1986 - October 31, 1989
L.H. FRIEND, WEINRESS, FRANKSON & PRESSON, LLC
May 5, 1982 - August 28, 1986
L. F. ROTHSCHILD & CO. INCORPORATED
June 19, 1979 - April 28, 1982
BREAN MURRAY & CO., INC.
August 30, 1978 - July 19, 1979
COLEMAN & COMPANY SECURITIES, INC.
July 28, 1978 - January 19, 1979
MULLER AND COMPANY, INC.
June 24, 1975 - September 5, 1977
THOMSON MCKINNON SECURITIES INC.
May 25, 1971 - July 18, 1975
DELAFIELD CHILDS INC
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: 9/30/1957
Registered Representative ExaminationSeries 40
Date: 5/1/1975
Registered Principal ExaminationCurrent Firm
AXIOM CAPITAL MANAGEMENT, INC.
CRD#: 26580 / SEC#: , 8-42638
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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