James M. Avena
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 Michael Avena was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 5 firms and has passed the Series 24 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 1992 - May 21, 1999
TULLETT & TOKYO SECURITIES, INC.
July 14, 1992 - September 14, 1992
FUNDAMENTAL BROKERS
May 12, 1989 - December 24, 1990
CANTOR FITZGERALD SHOKEN KAISHA LIMITED
July 25, 1987 - December 24, 1990
CANTOR FITZGERALD SECURITIES
April 26, 1983 - December 24, 1990
CANTOR, FITZGERALD MUNICIPAL BROKERS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Current Firm
TULLETT & TOKYO SECURITIES, INC.
CRD#: 19595 / SEC#: , 8-37648
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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