James C. Dragon
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 Cadieux Dragon was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 4 firms and has passed the Series 63, Series 7, Series 27 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
April 4, 1989 - November 4, 2002
JOHNSTON, DRAGON & ASSOCIATES, INC.
September 6, 1988 - September 15, 1989
PALICO LLC
July 23, 1984 - January 1, 1989
HAMILTON, JOHNSTON & CO., INC.
March 27, 1982 - September 14, 1982
NATIONAL SECURITIES & RESEARCH CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
JOHNSTON, DRAGON & ASSOCIATES, INC.
CRD#: 22370 / SEC#: , 8-40660
Contact information
Documents
Red Flags
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