Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Newman is a financial professional with over 30 years of experience in the securities industry. James has a strong background in municipal securities and currently holds licenses for both Series 7 and Series 52. James is registered with Ice Bonds Securities Corp. in New York, Georgia, Louisiana, Ohio and Virginia. James has previously been registered with TMC Bonds L.L.C., Gardnyr Michael Capital, Inc., Chapdelaine & Co. and Fahnestock & Co. Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
06/01/2020 - Present
ICE Bonds Securities Corp. (New York NY)
NY
07/01/2013 - 06/03/2020
TMC BONDS L.L.C. (New York NY)
AL
12/05/2012 - 06/24/2013
GARDNYR MICHAEL CAPITAL, INC. (MOBILE AL)
NY
04/09/2007 - 12/03/2012
TMC BONDS L.L.C. (NEW YORK NY)
NY
12/21/1993 - 03/20/2007
CHAPDELAINE & CO. (NEW YORK NY)
NA
02/19/1986 - 11/09/1987
FAHNESTOCK & CO. INC.
BC
Issued 03/03/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/28/2013
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/14/2007
Series 7 - General Securities Representative Examination
BC
Issued 12/20/1993
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
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