Individual Firm
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JAMES R ELIEFF
JAMES ROBERT ELIEFF
CRD#: 2286500
IA
B
STONEX ADVISORS INC.CRD#: 174182 KENDALL PARK, NJ
STONEX SECURITIES INC.CRD#: 18456 KENDALL PARK, NJ
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2/3/2016
Customer Dispute
Denied
State Registrations
B
New Jersey 1/11/2016
B
Tennessee 1/11/2016
IA
New Jersey 1/13/2016
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/13/2012 - 12/21/2015 | PRINCETON, NJ | |
B | 03/13/2012 - 12/21/2015 | PRINCETON, NJ | |
IA | 01/25/2007 - 02/28/2012 | LINCROFT, NJ | |
B | 11/10/1994 - 02/28/2012 | LINCROFT, NJ | |
B | 10/14/1992 - 08/31/1994 | NEWARK, NJ |
PRINCETON, NJ
03/13/2012 - 12/21/2015
PRINCETON, NJ
03/13/2012 - 12/21/2015
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.