James D. Dubin

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CRD#: 827994

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 David Dubin was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1976. 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.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 6, 2017 - December 6, 2021

MID-MARKET SECURITIES, LLC

CRD#: 126750

New York, NY

Past

July 18, 2012 - June 1, 2016

ACHATES CAPITAL ADVISORS LLC

CRD#: 153219

NEW YORK, NY

Past

June 16, 2003 - September 24, 2003

MMC SECURITIES LLC

CRD#: 103846

NEW YORK, NY

Past

June 22, 2001 - June 16, 2003

MARSH & MCLENNAN SECURITIES CORPORATION

CRD#: 556

NEW YORK, NY

Past

October 12, 1998 - November 29, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

January 5, 1996 - February 9, 1999

KENNETH, JEROME & CO.,INC.

CRD#: 15541

FLORHAM PK, NJ

Past

December 15, 1995 - November 22, 1996

TRADECO GLOBAL SECURITIES, INC.

CRD#: 24621

NEW YORK, NY

Past

September 12, 1991 - May 13, 1994

FIRSTPENN CAPITAL CORPORATION

CRD#: 23126

Past

March 12, 1985 - March 30, 1987

SCHRODER & CO. INC.

CRD#: 6112

Past

June 25, 1979 - February 13, 1985

MORGAN STANLEY DW INC.

CRD#: 7556

Past

September 22, 1976 - May 6, 1979

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 12/8/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 8/1/2012

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 82

Date: 7/23/2012

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 79

Date: 6/25/2012

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 9/18/1976

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/2/2013

General Securities Principal Examination

Principal/Supervisory Exam

Series 40

Date: 11/6/1978

Registered Principal Examination

Current Firm

MID-MARKET SECURITIES, LLC

CRD#: 126750 / SEC#: , 8-65905

Terminated by SEC on 01/20/2025

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 02/12/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
WIEN, ROBERT WILLIAM	PRESIDENT & CEO/GSP/CCO/FINOP	2289694

Disclosures

Regulatory Event

Red Flags

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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Advisor Monitoring

Firm Stability Insights

James D. Dubin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ACHATES CAPITAL ADVISORS LLC

MMC SECURITIES LLC

MARSH & MCLENNAN SECURITIES CORPORATION

PRUDENTIAL EQUITY GROUP, LLC

KENNETH, JEROME & CO.,INC.

TRADECO GLOBAL SECURITIES, INC.

FIRSTPENN CAPITAL CORPORATION

SCHRODER & CO. INC.

MORGAN STANLEY DW INC.

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/8/2012

SIE

Date: 10/1/2018

Series 22

Date: 8/1/2012

Series 82

Date: 7/23/2012

Series 79

Date: 6/25/2012

Series 7

Date: 9/18/1976

Series 24

Date: 7/2/2013

Series 40

Date: 11/6/1978

Current Firm

MID-MARKET SECURITIES, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MID-MARKET SECURITIES, LLC

TRUST BUT VERIFY

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