Brendan L. James
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.
Brendan Lee James was a registered financial professional .
Brendan is a previously registered financial professional and started their career in finance in 2009. Brendan had worked at 1 firm and has passed the Series 44 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2009 - August 27, 2012
IMC FINANCIAL MARKETS
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
Series 44
Date: 6/8/2009
PCX Market Maker ExamCurrent Firm
IMC FINANCIAL MARKETS
CRD#: 104143 / SEC#: , 8-52600
Contact information
Documents
Disclosures
| Regulatory Event | 35 |
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.
