James J. Boyle
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 Joseph Boyle, who also goes by Jim Boyle, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2015 - November 14, 2017
OPTIONSXPRESS, INC.
November 3, 2015 - November 26, 2019
CHARLES SCHWAB & CO., INC.
November 12, 2004 - September 8, 2015
UBS SECURITIES LLC
January 2, 2003 - June 24, 2004
DASH FINANCIAL TECHNOLOGIES LLC
July 9, 1990 - December 3, 2002
CHARLES SCHWAB & CO., 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 55
Date: 2/10/2003
Limited Representative-Equity Trader ExamCurrent Firm
OPTIONSXPRESS, INC.
CRD#: 103849 / SEC#: , 8-52354
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 1 |
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.
