James E. Neilsen
Professional summary
James E Neilsen was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 2004. Prior to being barred, James had worked at 3 firms, which includes LONGSHIP ALTERNATIVE ASSET MANAGEMENT, SOUND SECURITIES LLC, TRADITION SECURITIES AND DERIVATIVES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2010 - January 3, 2011
LONGSHIP ALTERNATIVE ASSET MANAGEMENT
August 7, 2008 - December 9, 2009
SOUND SECURITIES, LLC
November 5, 2004 - July 2, 2007
TRADITION SECURITIES AND DERIVATIVES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
LONGSHIP ALTERNATIVE ASSET MANAGEMENT
CRD#: 126798 / SEC#: , 8-65914
Contact information
FINRA licenses (4 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STEARNS, ROBERT FREDERICK | PRINCIPAL & OWNER, CHIEF COMPLIANCE OFFICER | |
| BARIS, CONSTANTINE WILLIAM | CFO & FINANCIAL OPTIONS PRINCIPAL | 4533144 |
Red Flags
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