James S. Farmer
Professional summary
James Sweeney Farmer is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
James is registered as a RR (Registered Representative) and started their career in finance in 1983. James has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Sweeney Farmer's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2018 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901September 8, 2009 - December 26, 2017
LPL FINANCIAL LLC
May 8, 2008 - September 8, 2009
ASSOCIATED SECURITIES CORP.
July 1, 2003 - April 16, 2008
WELLS FARGO CLEARING SERVICES, LLC
July 15, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 16, 1983 - June 15, 1998
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/24/2021)
(5/16/2022)
(2/11/2021)
(1/2/2018)
(12/9/2022)
(2/22/2022)
(9/20/2021)
(5/28/2021)
(1/9/2023)
(3/3/2021)
(4/20/2022)
(11/11/2021)
(2/11/2021)
Exams
FINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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