James M. Hahn
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 Martin Hahn, who also goes by Jim Hahn, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 6 firms and has passed the Series 63, Series 7, Series 52 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
December 2, 2010 - November 4, 2013
MAINLINE WEST MUNICIPAL SECURITIES LLC
April 30, 2008 - January 5, 2009
GVC CAPITAL LLC
November 2, 1990 - May 8, 2006
MOUNTAINVIEW SECURITIES, LLC
November 10, 1986 - July 20, 1990
CAPITAL MARKETS CORPORATION
April 30, 1982 - September 26, 1986
BOETTCHER & COMPANY, INC.
November 17, 1981 - February 22, 1982
DBLKM 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
Current Firm
MAINLINE WEST MUNICIPAL SECURITIES LLC
CRD#: 148020 / SEC#: , 8-67952
Contact information
FINRA licenses (12 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAINLINE CAPITAL LLC | MANAGING MEMBER/MEMBER | |
| CASELLI, ANTHONY SCOTT | CHIEF FINANCIAL OFFICER, FINOP & CCO | |
| KREIDLE, BRADLEY JAMES | PRESIDENT | 1755310 |
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.
