James C. Wisdom
Professional summary
James Cordell Wisdom III 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 advisor and started their career in finance in 2008. Prior to being barred, James had worked at 2 firms, which includes NATCITY INVESTMENTS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2009 - June 22, 2009
NATCITY INVESTMENTS, INC.
April 14, 2009 - June 22, 2009
NATCITY INVESTMENTS, INC.
May 15, 2008 - February 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 1, 2008 - February 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
NATCITY INVESTMENTS, INC.
CRD#: 17490 / SEC#: , 8-35288
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PNC FINANCIAL SERVICES GROUP, INC. | PARENT | |
| FABRIZI, SILVIO PAUL | CHIEF COMPLIANCE OFFICER | 4321545 |
| MCLAUGHLIN, CHARLOTTE BEHM | PRESIDENT AND CHIEF EXECUTIVE OFFICER - CAPITAL MARKETS | 2849217 |
| SINGER, DOUGLAS LAWRENCE | PRESIDENT AND CHIEF EXECUTIVE OFFICER - RETAIL | 1721973 |
| SUHANIC, JEFFREY DREW | SENIOR VICE PRESIDENT, DIRECTOR | 2124910 |
| TANNER, LEONARD EUGENE | VICE CHAIRMAN | 442470 |
| WILSON, CHARLENE FAITH | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, AND TREASURER | 1935747 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
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.
