James R. Semels
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 Richard Semels was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1976. James had worked at 5 firms and has passed the Series 65, Series 63, PC 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
February 23, 2005 - May 15, 2013
NORTHCOAST ASSET MANAGEMENT LLC
August 29, 1995 - December 31, 2002
NORTHCOAST ASSET MANAGEMENT LLC
July 31, 1993 - April 26, 1995
CITIGROUP GLOBAL MARKETS INC.
November 22, 1977 - July 31, 1993
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
September 1, 1976 - November 17, 1976
SHEARSON HAYDEN STONE INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 5/16/1977
AMEX Put and Call ExamCurrent Firm
NORTHCOAST ASSET MANAGEMENT LLC
CRD#: 109582 / SEC#: 801-57294
Contact information
Red Flags
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