James T. Dean
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 Thomas Dean JR, who also goes by Jim Dean, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1978. James had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2001 - January 16, 2020
PORTFOLIO BROKERAGE SERVICES, INC.
January 1, 1999 - December 31, 2001
B. C. ZIEGLER AND COMPANY
October 20, 1997 - January 1, 1999
GS2 SECURITIES, INC.
September 17, 1996 - February 26, 1997
PRINCIPAL FINANCIAL SECURITIES,INC.
February 5, 1996 - July 3, 1996
KROLL SECURITIES LLC
February 22, 1989 - February 9, 1996
CARL M. HENNIG, INC.
October 17, 1988 - December 19, 1988
DAIN RAUSCHER INCORPORATED
November 1, 1978 - October 17, 1988
THE MILWAUKEE COMPANY
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 55
Date: 9/18/1998
Limited Representative-Equity Trader ExamCurrent Firm
PORTFOLIO BROKERAGE SERVICES, INC.
CRD#: 18554 / SEC#: , 8-36915
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PMC INTERNATIONAL, INC. | PARENT COMPANY | |
| LUGOWSKI, MICHAEL GIORDANO | CHIEF COMPLIANCE OFFICER | 5132003 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
