James David Dubin
Professional Summary
James David Dubin was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1976 - 2021. James had worked at 11 firms and has passed the Series 63, SIE, Series 22, Series 82, Series 79, Series 7, Series 24 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
50 years in the financial services industry
Current & Past Employments
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Current Firm
MID-MARKET SECURITIES, LLC
Contact Information
Established
New York since 02/12/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WIEN, ROBERT WILLIAM | PRESIDENT & CEO/GSP/CCO/FINOP | 2289694 |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Aug 2012About the Series 22 examSeries 82 — Limited Representative-Private Securities Offerings
Passed Jul 2012About the Series 82 examSeries 79 — Investment Banking Registered Representative Examination
Passed Jun 2012About the Series 79 examSeries 40 — Registered Principal Examination
Passed Nov 1978Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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