James Vasser
CFAProfessional Summary
James Vasser, CFA, who also goes by James D Vasser III, James D Vasser, James Vasser III, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 2006 - 2020. James had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 27 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James D Vasser Iii, James D Vasser, James Vasser Iii
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Credentials
Years of Experience
20 years in the financial services industry
Current & Past Employments
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Current Firm
CROTON LIQUID MARKETS LLC | GUGGENHEIM LIQUID MARKETS, LLC | GLM SECURITIES, LLC
Contact Information
Established
Delaware since 02/09/2016Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | — |
| DISTELL, GARY NEIL | CHIEF COMPLIANCE OFFICER | 1540489 |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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