James F. Queeny
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 Francis Queeny, who also goes by James Francis Queeny III, James Queeny III, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 15 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, 2008 - July 15, 2010
JESUP & LAMONT SECURITIES CORP
November 21, 2007 - June 30, 2008
FIRST DUNBAR SECURITIES CORPORATION
September 15, 2005 - December 20, 2006
JESUP & LAMONT SECURITIES CORP
June 10, 2004 - September 1, 2005
FIRST DUNBAR SECURITIES CORPORATION
July 24, 2003 - March 31, 2004
ADVEST, INC.
October 29, 2002 - August 14, 2003
WINSLOW, EVANS & CROCKER, INC.
May 16, 2000 - October 29, 2002
H.C.WAINWRIGHT & CO., LLC
November 23, 1998 - May 31, 2000
MORGAN STANLEY DW INC.
December 2, 1994 - December 7, 1998
H.C.WAINWRIGHT & CO., LLC
November 20, 1989 - December 12, 1994
ALEX. BROWN & SONS INCORPORATED
June 11, 1987 - December 22, 1989
UBS FINANCIAL SERVICES INC.
March 15, 1985 - June 10, 1987
KIDDER, PEABODY & CO. INCORPORATED
February 22, 1983 - March 8, 1985
UBS FINANCIAL SERVICES 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 15
Date: 11/11/1982
Foreign Currency Options ExaminationCurrent Firm
JESUP & LAMONT SECURITIES CORP
CRD#: 39056 / SEC#: , 8-48893
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JESUP AND LAMONT, INC | OWNER | |
| HOLUB, WILLIAM C | FINOP, CFO, COO, CCO | 2680290 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 3 |
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.
