James P. Caine
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 Patrick Caine, who also goes by Jay Caine, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1977. James had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 3 and PC exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2003 - December 31, 2014
QUASAR DISTRIBUTORS, LLC
March 21, 2000 - December 31, 2014
BRANDES INVESTMENT PARTNERS, LP
February 20, 1996 - May 11, 2000
UBS FINANCIAL SERVICES INC.
July 31, 1993 - February 29, 1996
CITIGROUP GLOBAL MARKETS INC.
March 23, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
March 16, 1987 - January 3, 1992
LEHMAN BROTHERS INC.
January 23, 1984 - April 2, 1987
PRUDENTIAL EQUITY GROUP, LLC
July 20, 1977 - January 20, 1984
CITIGROUP GLOBAL MARKETS INC.
January 3, 1977 - July 23, 1977
BECKER SECURITIES INCORPORATED
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
PC
Date: 3/31/1981
AMEX Put and Call ExamCurrent Firm
QUASAR DISTRIBUTORS, LLC
CRD#: 103848 / SEC#: , 8-52323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
Red Flags
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