James Workman is a registered investment advisor, based in Mantua, NJ, with 24 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Mantua, NJ
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Regulatory History (1)
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Employment Separation After Allegations
October 2022Other Business ActivitiesSells Insurance
James is an owner/partner/investment adviser/producer at Workman Financial Services, LLP since 2008, dedicating full-time hours. He sells general securities and insurance products, including equity indexed annuities, and offers financial services through fixed insurance and securities-related products.
Employment History
Current Registrations
San Blas Securities LLC
November 2022 - Present · 3 yrs 11 mos
San Blas Securities LLCBroker
November 2022 - Present · 3 yrs 11 mos
Sb Advisory, LLC
October 2022 - Present · 4 yrs
Previous Registrations
Concourse Financial Group Advisors
August 2010 - October 2022 · 12 yrs 2 mos
Concourse Financial Group Securities, INC.Broker
May 2008 - October 2022 · 14 yrs 5 mos
Ameritas Investment CORP.Broker
January 2006 - May 2008 · 2 yrs 4 mos
Allstate Financial Services, LLCBroker
January 2005 - February 2006 · 1 yr 1 mo
The O.N. Equity Sales CompanyBroker
April 2004 - December 2004 · 8 mos
Metlife Securities INC.Broker
April 2002 - December 2002 · 8 mos
Metropolitan Life Insurance CompanyBroker
April 2002 - December 2002 · 8 mos
1717 Capital Management CompanyBroker
May 2001 - April 2002 · 11 mos
State Registrations3 states
MDNJPA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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