James F. Tice
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 Francis Tice, who also goes by James Frances Tice, 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 55, Series 41 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
January 15, 2009 - January 11, 2012
OTR GLOBAL TRADING LLC
May 14, 1992 - June 19, 2006
OPTIONS TRADING ASSOCIATES LLC
October 8, 1990 - December 31, 2008
OTA LLC
February 27, 1987 - October 8, 1990
OCWEN TRADING, INC.
December 13, 1979 - February 18, 1987
WALSH, GREENWOOD & CO.
May 19, 1978 - January 10, 1980
KIDDER, PEABODY & CO. INCORPORATED
January 3, 1977 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
State Registrations and Notice Filings
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Exams
Series 55
Date: 10/1/1999
Limited Representative-Equity Trader ExamSeries 41
Date: 11/23/1982
NYSE Allied Member ExaminationCurrent Firm
OTR GLOBAL TRADING LLC
CRD#: 138116 / SEC#: , 8-67147
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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