James D. Spielman
Professional summary
James David Spielman JR., who also goes by James David Spielman, is a registered financial professional currently at THE M & A GROUP LLC located in Minneapolis, Minnesota.
James is registered as a RR (Registered Representative) and started their career in finance in 2004. James has worked at 8 firms and has passed the Series 63, Series 42, Series 72, Series 7TO, Series 6TO, Series 62, Series 99TO, Series 82TO, Series 22TO, Series 79TO, SIE, Series 7, Series 79, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James David Spielman JR.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
August 31, 2022 - Present
THE M & A GROUP LLC
Office #1: 900 Ids Center 80 South 8th Street, Minneapolis, MN 55402February 22, 2021 - December 6, 2021
FINALIS SECURITIES LLC
November 19, 2020 - December 31, 2020
FINALIS SECURITIES LLC
August 24, 2020 - November 17, 2020
BA SECURITIES, LLC
October 4, 2019 - January 2, 2020
BA SECURITIES, LLC
July 19, 2018 - April 15, 2019
BA SECURITIES, LLC
September 11, 2015 - August 29, 2016
SYMPHERON
May 28, 2009 - September 25, 2009
FTN EQUITY CAPITAL MARKETS CORP.
January 16, 2008 - March 5, 2009
HOULIHAN LOKEY CAPITAL, INC.
August 22, 2006 - November 28, 2007
BANC OF AMERICA SECURITIES LLC
July 14, 2004 - February 10, 2005
ROTH CAPITAL PARTNERS, 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
(8/31/2022)
Exams
Series 42
Date: 1/2/2023
Registered Options Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
THE M & A GROUP LLC
CRD#: 144909 / SEC#: , 8-67684
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SORENSEN, IVAR W. | EXECUTIVE REP/CEO/CCO/AMLCO/FINOP | 5679179 |
Red Flags
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