James R. Whitehead
Professional summary
James R. Whitehead was barred by the FINRA 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 2005. Prior to being barred, James had worked at 2 firms, which includes PICKWICK CAPITAL PARTNERS LLC, EMERALD POINT CAPITAL LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2007 - December 23, 2011
PICKWICK CAPITAL PARTNERS, LLC
July 8, 2005 - January 23, 2007
EMERALD POINT CAPITAL, 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
Exams
Current Firm
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ABRAMCZYK, JANE E | CCO | 4801666 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
Red Flags
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