James H. Garfinkel
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 Howard Garfinkel, who also goes by James Garfinkel, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2008. James had worked at 4 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2014 - November 23, 2020
MPWM ADVISORY SOLUTIONS LLC
January 22, 2013 - March 4, 2024
LPL FINANCIAL LLC
November 4, 2011 - December 21, 2012
HORNOR, TOWNSEND & KENT, LLC
April 18, 2008 - October 30, 2009
PARK AVENUE SECURITIES LLC
Primary Firm SEC Registration
MPWM ADVISORY SOLUTIONS LLC
CRD#: 169885 / SEC#: 801-78961
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
MPWM ADVISORY SOLUTIONS LLC
CRD#: 169885 / SEC#: 801-78961
Contact information
SEC notice filing (14 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 653 |
| AUM (Assets Under Management) | $ 320,546,673 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
