James M. Hawkins
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 Mallory Hawkins 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 65, Series 63, Series 3, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2009 - November 13, 2018
MICROSIGMA CAPITAL MANAGEMENT, LLC
July 31, 1993 - June 4, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - June 4, 2009
CITIGROUP GLOBAL MARKETS INC.
May 8, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
March 27, 1986 - April 23, 1991
UBS FINANCIAL SERVICES INC.
October 3, 1984 - March 31, 1986
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
MICROSIGMA CAPITAL MANAGEMENT, LLC
CRD#: 139226 / SEC#: 801-66070
Contact information
Red Flags
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