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JF

James Richard Famularo

CRD# 1124899·Registered 1983 - 1986
Barred: James Richard Famularo was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

James Richard Famularo was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1983 - 1986. James had worked at 3 firms and has passed the Series 7, Series 53 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

43 years registered in the securities industry

Current & Past Employments

Past

NATIONAL DISCOUNT SECURITIES CORP.Past·CRD# 14570
BD
March 30, 1984 - August 20, 1986
H. BURCKHARDT & COMPANY, INC.Past·CRD# 10274
BD
January 27, 1984 - March 5, 1984
BLINDER, ROBINSON & CO., INC.Past·CRD# 5096
BD
July 2, 1983 - January 12, 1984

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Current Firm

ND
NATIONAL DISCOUNT SECURITIES CORP.

NATIONAL DISCOUNT SECURITIES CORP.

CRD#: 14570 / SEC#: 8-30874
BD
Cancelled by FINRA on 08/20/1986

Contact Information

Documents

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 7 — General Securities Representative Examination

Passed May 1983About the Series 7 exam

Series 53 — Municipal Securities Principal Examination

Passed Oct 1984About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Oct 1983About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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