James C. Farmer
Professional summary
James Charles Farmer, who also goes by Jamie Charles Farmer, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
James is registered as a RR (Registered Representative) and started their career in finance in 2004. James has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Charles Farmer's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 28, 2016 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901May 5, 2016 - September 13, 2016
LPL FINANCIAL LLC
August 8, 2012 - May 8, 2014
LPL FINANCIAL LLC
September 8, 2009 - September 20, 2010
LPL FINANCIAL LLC
March 23, 2009 - September 8, 2009
ASSOCIATED SECURITIES CORP.
November 17, 2004 - February 24, 2009
FIRST TRUST PORTFOLIOS L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/12/2023)
(10/23/2024)
(2/25/2025)
(1/11/2023)
(5/16/2022)
(12/11/2023)
(9/20/2022)
(3/1/2024)
(9/28/2016)
(1/21/2025)
(1/12/2023)
(1/12/2023)
(1/12/2023)
(9/30/2022)
(3/8/2023)
(12/11/2023)
(6/23/2025)
(1/12/2023)
(12/19/2022)
(3/6/2023)
(2/7/2023)
(3/15/2023)
(9/30/2022)
(1/12/2023)
(7/25/2023)
(5/3/2024)
(2/7/2023)
(1/12/2023)
(1/12/2023)
(1/12/2023)
Exams
FINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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