James E. Delaney
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 Edmund Delaney, who also goes by James Edmund Delaney III, James Delaney, Jim Delaney, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2015 - October 26, 2015
SCOTTRADE, INC.
April 25, 2013 - August 26, 2013
MORGAN STANLEY
September 2, 2010 - January 3, 2013
COMPASS POINT RESEARCH & TRADING, LLC
October 20, 1994 - May 28, 2010
B. RILEY SECURITIES, INC.
March 25, 1993 - November 2, 1994
MORGAN STANLEY DW INC.
May 18, 1990 - September 21, 1990
FIRST UNION CAPITAL MARKETS CORP.
January 1, 1988 - July 13, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 15, 1986 - January 11, 1988
PRUDENTIAL EQUITY GROUP, LLC
February 10, 1984 - July 13, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Current Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
