James L. Greenbaum
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 Lee Greenbaum was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1976. James had worked at 7 firms and has passed the Series 63, Series 5 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
May 19, 1988 - June 20, 1988
PROFILE INVESTMENTS CORPORATION
February 24, 1988 - February 26, 1988
NORTH AMERICAN INVESTMENT CORP.
November 9, 1987 - February 24, 1988
PROVIDENCE SECURITIES, INC.
May 1, 1984 - October 20, 1987
NORTH AMERICAN INVESTMENT CORP.
September 14, 1983 - June 21, 1985
MORGAN STANLEY DW INC.
December 6, 1978 - May 21, 1982
LEHMAN BROTHERS INC.
September 26, 1978 - January 18, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 22, 1976 - September 26, 1978
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
Exams
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
PROFILE INVESTMENTS CORPORATION
CRD#: 16478 / SEC#: , 8-34022
Contact information
Documents
Red Flags
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