James A. Mahony
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 Alan Mahony, who also goes by James A Mahony, Jim Mahony, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 14 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2016 - August 18, 2017
SECUREVEST FINANCIAL GROUP
November 10, 2014 - June 21, 2016
BREAN CAPITAL, LLC
November 12, 2013 - July 30, 2014
D.A. DAVIDSON & CO.
November 6, 2012 - October 2, 2013
SANTANDER US CAPITAL MARKETS LLC
January 4, 2011 - March 7, 2013
PIERPONT CAPITAL ADVISORS LLC
March 4, 2008 - December 14, 2010
WALL STREET ACCESS
May 5, 2006 - November 7, 2007
MORGAN STANLEY & CO. LLC
August 4, 2004 - May 8, 2006
J.P. MORGAN SECURITIES INC.
March 4, 2002 - July 21, 2004
R. SEELAUS & CO., LLC
January 2, 2001 - March 6, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
October 22, 1996 - December 21, 2000
CITIGROUP GLOBAL MARKETS INC.
February 12, 1993 - August 22, 1996
J.P. MORGAN SECURITIES LLC
May 31, 1985 - February 10, 1993
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 4/7/2000
Limited Representative-Equity Trader ExamCurrent Firm
SECUREVEST FINANCIAL GROUP
CRD#: 10100 / SEC#: , 8-26030
Contact information
Disclosures
| Regulatory Event | 4 |
Red Flags
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