James G. Curley
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 Gerard Curley was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 6 firms and has passed the Series 63, SIE, Series 55, 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
March 20, 2012 - May 2, 2019
NOBLE CAPITAL MARKETS, INC.
November 13, 2009 - August 5, 2010
ATLANTIC EQUITIES, LLC
March 3, 2008 - April 27, 2009
PALI CAPITAL, INC.
July 23, 2004 - May 31, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 2, 2002 - May 31, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 27, 1986 - December 3, 2002
HERZOG, HEINE, GEDULD, LLC
September 21, 1983 - August 11, 1986
TUCKER ANTHONY INCORPORATED
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 55
Date: 7/28/1999
Limited Representative-Equity Trader ExamCurrent Firm
NOBLE CAPITAL MARKETS, INC.
CRD#: 15768 / SEC#: , 8-32706
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 11 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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