James M. Dolan
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 Dolan, who also goes by Jim Dolan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1979. James had worked at 9 firms and has passed the Series 63, SIE and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2015 - July 29, 2016
IMS HEALTH CAPITAL, INC.
October 6, 2011 - December 12, 2014
WORLD TRADE FINANCIAL CORPORATION
March 14, 2011 - July 29, 2011
WFP SECURITIES
March 27, 2007 - March 26, 2009
LPL FINANCIAL LLC
June 3, 2003 - November 21, 2005
EVERGREEN DISTRIBUTOR, INC.
February 27, 2003 - April 10, 2007
FUNDS DISTRIBUTOR, LLC
June 2, 1997 - April 25, 2001
FIS SECURITIES, INC.
April 10, 1995 - October 31, 1996
PHOENIXLINK INVESTMENTS INC.
January 8, 1979 - October 31, 1996
VP DISTRIBUTORS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 40
Date: 12/30/1978
Registered Principal ExaminationCurrent Firm
IMS HEALTH CAPITAL, INC.
CRD#: 150156 / SEC#: , 8-68222
Contact information
Red Flags
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