James P. Diluigi
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 Peter Diluigi was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 5 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2002 - November 13, 2003
INVESTORS CAPITAL CORP.
September 23, 1999 - February 11, 2002
STUART SECURITIES CORP.
January 21, 1997 - September 8, 1999
WMA SECURITIES, INC.
January 4, 1983 - January 23, 1997
PFS INVESTMENTS INC.
June 7, 1982 - April 6, 1983
CARDELL & ASSOCIATES, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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