James E. Mangines
Professional summary
James Edward Mangines, who also goes by Jim E Mangines, is a registered financial professional currently at BREAN CAPITAL, LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1975. James has worked at 9 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Edward Mangines's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 25, 2012 - Present
BREAN CAPITAL, LLC
Office #1: 505 Fifth Avenue 5th Floor, New York, NY 10017October 16, 2008 - June 14, 2012
GLEACHER & COMPANY SECURITIES, INC.
April 1, 2008 - October 17, 2008
SANDERS MORRIS LLC
August 11, 1997 - March 29, 2000
ORMES CAPITAL MARKETS, INC.
November 2, 1994 - August 3, 2007
BROADPOINT DESCAP
July 25, 1987 - April 7, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
April 2, 1985 - July 13, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
December 6, 1982 - April 22, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 25, 1975 - December 11, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
(6/12/2012)
(5/22/2017)
(5/25/2012)
Exams
FINRA
Nasdaq Stock Market
Current Firm
BREAN CAPITAL, LLC
CRD#: 23723 / SEC#: , 8-40742
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMUR HOLDINGS, LLC | HOLDING COMPANY | |
| HUNT FS HOLDINGS III, LLC | HOLDING COMPANY | |
| ALLURED LLC | HOLDING COMPANY | |
| LIZINATOR LLC | HOLDING COMPANY | |
| BREAN CAPITAL HOLDINGS, LLC | HOLDING COMPANY | |
| CORWEN, STEPHEN MILLER | HEAD OF MBS/ABS SALES | 2943061 |
| FINE, ROBERT MICHAEL | CHIEF EXECUTIVE OFFICER | 1450313 |
| GUZMAN, JEFFREY M | CHIEF COMPLIANCE OFFICER | 3095123 |
| LAMARSH, JONATHAN ANDREW | PRINCIPAL OPERATIONS OFFICER | 5436335 |
| MACKLIN, JOHN TIMOTHY | PRINCIPAL OPERATIONS OFFICER | 1446800 |
| SARABELLA, ARNOLD | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 1717059 |
| TIRSCHWELL, ROBERT MOYSE | EXECUTIVE MANAGING DIRECTOR | 2230453 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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