James F. Mooney
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 Francis Mooney, CFA was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 5 firms and has passed the Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2003 - December 31, 2005
ESSEX SECURITIES LLC
February 13, 2001 - December 18, 2002
INVESTORS CAPITAL CORP.
March 31, 1995 - October 18, 1999
WOODBURY FINANCIAL SERVICES, INC.
July 10, 1993 - June 1, 1994
NORTH AMERICAN MANAGEMENT, INC.
May 20, 1992 - December 21, 1992
NORTH AMERICAN MANAGEMENT, INC.
August 23, 1984 - August 14, 1991
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ESSEX SECURITIES LLC
CRD#: 46605 / SEC#: , 8-51472
Contact information
FINRA licenses (38 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
