James S. Comforti
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 Shawn Comforti, who also goes by Jim Comforti, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2018 - June 1, 2018
GENERAL WELLINGTON CAPITAL LLC
March 9, 2016 - June 2, 2016
NORTHERN LIGHTS DISTRIBUTORS, LLC
October 21, 2015 - July 1, 2016
SWAN GLOBAL INVESTMENTS, LLC
June 17, 2015 - October 23, 2015
INDEPENDENT FINANCIAL GROUP, LLC
June 16, 2015 - October 23, 2015
INDEPENDENT FINANCIAL GROUP, LLC
January 22, 2014 - August 14, 2014
L & S ADVISORS, INC
January 7, 2011 - February 8, 2013
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
April 5, 2010 - January 5, 2011
MATRIX CAPITAL GROUP, INC.
November 6, 2009 - January 26, 2010
JEFFERIES LLC
July 7, 2009 - November 10, 2009
CAPITAL RESEARCH BROKERAGE SERVICES, LLC
January 17, 2002 - November 19, 2008
BNY MELLON SECURITIES CORPORATION
November 1, 1996 - August 22, 1997
EATON VANCE DISTRIBUTORS, INC.
October 17, 1996 - January 24, 2002
ALLIANCEBERNSTEIN INVESTMENTS, INC.
June 23, 1987 - November 1, 1996
EATON VANCE DISTRIBUTORS, INC.
September 7, 1984 - May 1, 1987
E. F. HUTTON & COMPANY INC
February 13, 1984 - June 22, 1984
BIRR, WILSON & CO., INC.
June 22, 1983 - February 14, 1984
CALIFORNIA MUNICIPAL INVESTORS, 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
Current Firm
GENERAL WELLINGTON CAPITAL LLC
CRD#: 282139 / SEC#: , 8-69705
Contact information
FINRA licenses (10 States and Territories)
Documents
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.
