James M. Runko
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 Runko, who also goes by James Runk, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 4 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 52TO, SIE, Series 79, Series 7, Series 52 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
January 17, 2017 - January 4, 2021
NORTHEAST CAPITAL & ADVISORY, INC.
December 7, 2010 - February 13, 2015
MCM SECURITIES LLC
May 14, 1997 - October 12, 2000
GREENWICH PARTNERS, LLC
July 19, 1993 - May 12, 1997
GLEACHER & COMPANY SECURITIES, INC.
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
Series 7TO
Date: 11/10/2023
General Securities Representative ExaminationSeries 79TO
Date: 11/10/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 11/10/2023
Municipal Securities Representative ExaminationCurrent Firm
NORTHEAST CAPITAL & ADVISORY, INC.
CRD#: 32117 / SEC#: , 8-46003
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LOOMIS & CO., INC. | PARENT COMPANY | |
| LOOMIS, ARTHUR LAURENCE II | PRESIDENT, CCO, CFO | 1608844 |
Disclosures
| Regulatory Event | 1 |
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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