James M. Flynn
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 Flynn, who also goes by Jim Flynn, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 1995 - December 15, 1995
ALLEGHENY INVESTMENTS, LTD.
February 9, 1994 - April 24, 1995
WALNUT STREET SECURITIES, INC.
June 24, 1988 - February 9, 1994
THE INVESTMENT CENTER, INC.
October 27, 1987 - July 12, 1988
BUTCHER & SINGER INC.
December 4, 1985 - November 10, 1987
LEHMAN BROTHERS INC.
June 16, 1983 - December 6, 1985
RICHARDS, LYNCH & PEGHER, INC.
March 21, 1983 - May 23, 1983
EASTMAN BANKS & DOLAN, INC.
Primary Firm SEC Registration
ALLEGHENY INVESTMENTS, LTD.
CRD#: 7597 / SEC#: 801-57662, 8-22183
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
Current Firm
ALLEGHENY INVESTMENTS, LTD.
CRD#: 7597 / SEC#: 801-57662, 8-22183
Contact information
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,990 |
| AUM (Assets Under Management) | $ 633,814,776 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/10/2025 | ||
| 10/22/2024 | ||
| 08/11/2023 | ||
| 10/08/2022 |
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.
