James A. Mclean
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 Alvin Mclean was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 5 firms and has passed the Series 63 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
May 7, 1996 - June 4, 1999
NATHAN & LEWIS SECURITIES, INC.
February 3, 1992 - May 9, 1996
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
July 3, 1990 - December 31, 1991
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
March 31, 1987 - July 3, 1990
LCP CAPITAL CORP.
August 13, 1986 - February 3, 1987
INVESTACORP, INC.
February 6, 1986 - August 13, 1986
CARDELL & ASSOCIATES, INCORPORATED
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
NATHAN & LEWIS SECURITIES, INC.
CRD#: 8503 / SEC#: , 8-25463
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
