James D. Mcintosh
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 David Mcintosh was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2010. James had worked at 2 firms and has passed the Series 63, SIE 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
July 3, 2012 - December 9, 2014
CGS INTERNATIONAL SECURITIES USA, INC.
March 5, 2010 - July 2, 2012
NATWEST MARKETS SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CGS INTERNATIONAL SECURITIES USA, INC.
CRD#: 141892 / SEC#: , 8-67414
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CGS INTERNATIONAL SECURITIES PTE. LTD. | STOCKHOLDER | |
| CHIN-LUK, HELEN JADE | SENIOR VP, FINOP, CCO, CEO | 2292149 |
Red Flags
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