James F. Novak
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 Francis Novak was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1979. James had worked at 11 firms and has passed the Series 66, Series 63, Series 5, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2010 - December 31, 2011
FINTEGRA, LLC
July 2, 2010 - December 31, 2011
FINTEGRA, LLC
October 13, 2008 - June 17, 2010
B. RILEY WEALTH MANAGEMENT
October 13, 2008 - October 20, 2008
BIRKELBACH INVESTMENT SECURITIES, INC.
October 13, 2008 - June 17, 2010
B. RILEY WEALTH MANAGEMENT
July 9, 2003 - October 13, 2008
SANCTUARY SECURITIES, INC.
July 9, 2003 - October 13, 2008
SANCTUARY SECURITIES, INC.
September 14, 2001 - July 30, 2003
ROBERT W. BAIRD & CO. INCORPORATED
April 14, 1998 - July 30, 2003
ROBERT W. BAIRD & CO. INCORPORATED
December 24, 1997 - March 17, 1998
RODMAN & RENSHAW INC.
December 21, 1993 - December 12, 1997
MESIROW FINANCIAL, INC.
March 8, 1993 - January 1, 1994
MESIROW INVESTMENT SERVICES, INC.
December 16, 1986 - February 23, 1993
RODMAN & RENSHAW INC.
November 20, 1985 - December 18, 1986
BROOK INVESTMENTS, INC.
December 16, 1983 - October 26, 1984
UBS FINANCIAL SERVICES INC.
February 10, 1979 - July 2, 1982
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
Series 5
Date: 10/22/1981
Interest Rate Options ExaminationSeries 1
Date: 9/11/1968
Registered Representative ExaminationCurrent Firm
FINTEGRA, LLC
CRD#: 16741 / SEC#: 801-56275, 8-34434
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINTEGRA HOLDINGS, LLC | SHAREHOLDERS | |
| CAURRO, STEPHEN ANTHONY | BOARD OF DIRECTORS | 5845813 |
| CONNER, DANIEL | BOARD OF DIRECTORS | |
| SCHMITZ, DOUGLAS GENE | BOARD OF DIRECTORS | 1771132 |
| SCHUH, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER, FINOP | 1036839 |
| WALTER, KENNETH JOHN | BOARD OF DIRECTORS | 5845803 |
| WEBER, DOREEN LEA | PRESIDENT/CEO/CCO | 1368639 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
