James D. Freeman
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 Freeman was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1980. James had worked at 9 firms and has passed the Series 65, Series 63, 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
August 14, 2008 - October 30, 2009
BELLEVUE CHICAGO, LLC
July 11, 2008 - December 16, 2008
REDHAWK WEALTH ADVISORS, INC.
March 23, 2005 - June 18, 2012
FREEMAN FINANCIAL ADVISORY, LLC
September 14, 2004 - January 21, 2005
AMERIWAY FINANCIAL SERVICES, INC.
January 28, 1998 - August 2, 2006
LPL FINANCIAL LLC
June 5, 1992 - August 2, 2006
LPL FINANCIAL LLC
October 28, 1988 - June 10, 1992
CADARET, GRANT & CO., INC.
June 19, 1986 - November 17, 1988
FOCUS SECURITIES, INC.
February 26, 1986 - July 1, 1986
CARDELL & ASSOCIATES, INCORPORATED
September 25, 1980 - March 5, 1986
FIRST JERSEY SECURITIES, INC.
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
BELLEVUE CHICAGO, LLC
CRD#: 106069 / SEC#: , 8-52991
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THINKORSWIM HOLDINGS INC. | OWNER | |
| BUNCH, JOHN BRADLEY | DIRECTOR | 1908764 |
| CHOCHON, MICHAEL DOUGLAS | CFO/FINOP | 3203736 |
| DAVIDSON, FELIX BEARD | VP, MANAGING DIRECTOR, OPERATIONS | 3061512 |
| GERBER, WILLIAM JOSEPH | DIRECTOR | 1769810 |
| GRADY, ANN MARIE | CHIEF COMPLIANCE OFFICER | 4505862 |
| SHERIDAN, SCOTT DANIEL | EXECUTIVE VICE PRESIDENT | 2420659 |
| SOSNOFF, TOM | EXECUTIVE VICE PRESIDENT | 704235 |
| YATES, WILLIAM THOMAS | PRESIDENT | 2749545 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
