James J. Mahoney
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 John Mahoney was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 10 firms and has passed the Series 63, Series 5, 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
July 14, 1997 - October 20, 1997
FINANCIAL WEST GROUP
December 7, 1995 - May 29, 1997
PACIFIC CORTEZ SECURITIES INCORPORATED
August 26, 1994 - November 29, 1995
CENTEX SECURITIES, INCORPORATED
August 27, 1993 - February 24, 1994
TEXAS CAPITAL SECURITIES, INC.
August 28, 1991 - February 19, 1992
CORPORATE BENEFIT SECURITIES, INC.
August 25, 1989 - February 1, 1990
PRUDENTIAL EQUITY GROUP, LLC
November 24, 1987 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
August 28, 1985 - February 1, 1990
PRUDENTIAL EQUITY GROUP, LLC
October 26, 1983 - July 30, 1985
E. F. HUTTON & COMPANY INC
November 6, 1981 - September 30, 1983
LEHMAN BROTHERS INC.
September 30, 1981 - November 6, 1981
TITAN/VALUE EQUITIES GROUP, 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 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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.
