James A. Schaberg
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 Arthur Schaberg, who also goes by James A Schaberg, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1979. James had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 24, Series 8 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2011 - September 18, 2015
INCAPITAL DISTRIBUTORS LLC
April 7, 2000 - September 18, 2015
INSPEREX LLC
January 6, 2000 - September 29, 2000
ARBOR RESEARCH & TRADING, LLC
January 3, 1995 - March 1, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 16, 1994 - July 26, 1994
FIRST OF MICHIGAN CORPORATION
June 24, 1992 - May 16, 1994
FIDELITY BROKERAGE SERVICES LLC
January 1, 1992 - February 4, 1992
J.P. MORGAN SECURITIES INC.
May 26, 1987 - January 1, 1992
MANUFACTURERS HANOVER SECURITIES CORPORATION
March 1, 1982 - October 31, 1983
MORGAN STANLEY DW INC.
October 24, 1979 - March 15, 1982
E. F. HUTTON & COMPANY 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
Series 8
Date: 1/5/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INCAPITAL DISTRIBUTORS LLC
CRD#: 156622 / SEC#: , 8-68814
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSPEREX HOLDINGS, LLC | MEMBER: VOTING | |
| BUSSCHER, ARNOLD BRADLEY | CHIEF ADMINSTRATIVE OFFICER AND GENERAL COUNSEL | 2213934 |
| DEEG, ADITI DAVARE | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; FIN/OP | 4279152 |
| MITCHELL, SCOTT ALEXANDER | CHIEF EXECUTIVE OFFICER | 4717597 |
| PAPAGIANNIS, JAMES JOHN | CHIEF COMPLIANCE OFFICER & AMLCO | 2449960 |
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.
