James A. Mcginley
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 Adrian Mcginley was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2012 - January 13, 2025
LOOP CAPITAL MARKETS LLC
August 16, 2012 - October 3, 2012
JACKSON SECURITIES LLC
March 3, 2010 - October 9, 2012
M. R. BEAL & COMPANY
April 21, 2009 - March 5, 2010
STERNE, AGEE & LEACH, INC.
February 13, 2008 - April 14, 2009
HAPOALIM SECURITIES USA, INC.
June 29, 2007 - February 12, 2008
M. R. BEAL & COMPANY
January 16, 2006 - April 18, 2007
UBS SECURITIES LLC
December 10, 1994 - January 16, 2006
UBS FINANCIAL SERVICES INC.
February 26, 1987 - July 20, 1993
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
Red Flags
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