James L. Sonnenfeld
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 Leroy Sonnenfeld was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1976. James had worked at 10 firms and has passed the Series 63 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
November 9, 2006 - November 5, 2009
INTERVEST INTERNATIONAL EQUITIES CORPORATION
January 1, 2004 - November 13, 2006
VOYA FINANCIAL ADVISORS, INC.
April 4, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
December 5, 2001 - March 24, 2003
FFP SECURITIES, INC.
July 25, 2000 - June 27, 2001
TOUCHSTONE SECURITIES, INC.
October 30, 1987 - June 28, 1990
GRUNTAL & CO., L.L.C.
May 27, 1980 - November 17, 1987
E. F. HUTTON & COMPANY INC
February 24, 1978 - June 21, 1980
MORGAN STANLEY DW INC.
April 25, 1977 - February 24, 1978
REYNOLDS SECURITIES, INC.
January 28, 1976 - May 21, 1977
FERRIS, BAKER WATTS, LLC
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
INTERVEST INTERNATIONAL EQUITIES CORPORATION
CRD#: 20289 / SEC#: , 8-38156
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
Red Flags
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