James M. St John
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 Matthew St John, who also goes by James M Stjohn, James Matthew Stjohn, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1979. James had worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
August 7, 1984 - July 18, 2014
CITIGROUP GLOBAL MARKETS INC.
March 26, 1980 - July 27, 1984
TP ICAP GLOBAL MARKETS AMERICAS LLC
October 1, 1979 - April 21, 1980
HAPOALIM SECURITIES USA, INC.
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
Current Firm
SALOMON BROTHERS INC.
CRD#: 740 / SEC#: , 8-26920
Contact information
Documents
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.
