James M. Doolan
Professional summary
James Michael Doolan was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, James had worked at 10 firms, which includes PAULSON INVESTMENT COMPANY LLC, MAXIM GROUP LLC, HAPOALIM SECURITIES USA INC., H.C.WAINWRIGHT & CO. LLC, CROWN FINANCIAL GROUP INC., ROBERT THOMAS SECURITIES INC, PHILIPS APPEL & WALDEN INC., BROOKS WEINGER ROBBINS & LEEDS INC., DENTON & COMPANY INCORPORATED, MONVEST SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2006 - October 23, 2007
PAULSON INVESTMENT COMPANY LLC
October 23, 2002 - July 28, 2006
MAXIM GROUP LLC
August 14, 2002 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
December 22, 2000 - August 22, 2002
H.C.WAINWRIGHT & CO., LLC
January 2, 1990 - January 5, 2001
CROWN FINANCIAL GROUP, INC.
June 8, 1988 - January 9, 1990
ROBERT THOMAS SECURITIES, INC
November 20, 1987 - June 1, 1988
PHILIPS, APPEL & WALDEN, INC.
November 5, 1986 - November 30, 1987
BROOKS WEINGER ROBBINS & LEEDS INC.
February 12, 1985 - November 10, 1986
DENTON & COMPANY, INCORPORATED
November 16, 1984 - November 19, 1984
MONVEST SECURITIES, INC.
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
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
Red Flags
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