James M. Flanagan
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 Flanagan, who also goes by James M Flanagan, James Michael Flanagan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 12 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 15 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
January 13, 2016 - March 9, 2021
J.P. MORGAN SECURITIES LLC
January 13, 2016 - March 9, 2021
J.P. MORGAN SECURITIES LLC
October 30, 2013 - January 6, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 21, 2013 - January 6, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 2, 2013 - July 31, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 24, 2012 - November 29, 2012
AGILE PT GROUP LLC
March 23, 2011 - February 24, 2012
G-2 TRADING,LLC
January 11, 2011 - March 23, 2011
MADISON PROPRIETARY TRADING GROUP, LLC
December 29, 2003 - April 3, 2006
SEQUAMS TRADING CORP.
January 2, 2002 - March 22, 2002
OPPENHEIMER & CO. INC.
January 2, 2002 - January 2, 2004
JMF SECURITIES CORP.
January 24, 1994 - January 2, 2002
JOSEPHTHAL & CO., INC.
October 29, 1991 - May 28, 1993
JOSEPHTHAL & CO., INC.
March 15, 1991 - June 6, 1991
SECURITIES SETTLEMENT CORPORATION
May 29, 1990 - October 25, 1991
JJC SECURITIES CO., INC.
May 22, 1984 - May 29, 1990
JSC SECURITIES, INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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 7TO
Date: 12/22/2022
General Securities Representative ExaminationSeries 15
Date: 6/12/1984
Foreign Currency Options ExaminationCurrent Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
