James M. Driscoll
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 Michael Driscoll, who also goes by James Michael Brendon Driscoll, Jim Driscoll, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2014. James had worked at 2 firms and has passed the Series 63, SIE and Series 82 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2014 - March 17, 2016
FOCUS SECURITIES LLC
January 24, 2014 - July 28, 2014
STILLPOINT CAPITAL, LLC
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
FOCUS SECURITIES LLC
CRD#: 150589 / SEC#: , 8-68273
Contact information
FINRA licenses (46 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOCUS HOLDINGS USA, INC. | OWNER | |
| BEARD, ROBERT GLENN | PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER | 5771682 |
| THOMPSON, RICHARD FRANK JR. | FINOP, ER |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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