James V. Poma
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 Vincent Poma 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 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2013 - January 2, 2014
GUGGENHEIM ENERGY ADVISORS, LLC
July 1, 2010 - November 2, 2010
GUGGENHEIM LIQUIDITY SERVICES, LLC
May 18, 2010 - December 31, 2013
GUGGENHEIM SECURITIES, LLC
March 11, 2008 - July 17, 2009
CREDIT AGRICOLE SECURITIES (USA) INC.
State Registrations and Notice Filings
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Exams
Series 55
Date: 2/5/2009
Limited Representative-Equity Trader ExamCurrent Firm
GUGGENHEIM ENERGY ADVISORS, LLC
CRD#: 159397 / SEC#: , 8-68983
Contact information
Documents
Red Flags
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