James B. Hanley
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 Brendan Hanley, who also goes by James Brendon Hanley, Seamus Hanley, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 18 firms and has passed the Series 63 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
September 21, 2004 - January 25, 2005
CHICAGO INVESTMENT GROUP, LLC
September 17, 2003 - May 28, 2004
KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.
August 19, 2002 - September 2, 2003
FEDERAL STREET INVESTMENTS, INC.
October 25, 2001 - August 16, 2002
US TRADING LLC
August 20, 1999 - November 22, 1999
HAMPTON-PORTER, INVESTMENT BANKERS, A CALIFORNIA LLC
November 7, 1996 - May 30, 1997
C.A. ATLANTIC SECURITIES, INC.
May 1, 1995 - August 5, 1996
THE BOSTON GROUP
August 3, 1994 - April 24, 1995
BARINGTON CAPITAL GROUP, L.P.
May 11, 1993 - July 21, 1994
A.S. GOLDMEN & CO., INC.
February 11, 1993 - April 26, 1993
NORCROSS & COMPANY
April 24, 1992 - December 3, 1992
FINANCIAL SECURITIES NETWORK,INC.
December 17, 1991 - May 13, 1992
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
October 25, 1990 - November 18, 1991
WINTHROP SECURITIES CO., INC.
July 13, 1989 - February 17, 1990
MOORS & CABOT, INC.
February 10, 1989 - April 27, 1989
PROFILE INVESTMENTS CORPORATION
March 10, 1988 - October 1, 1988
LEHMAN BROTHERS INC.
February 11, 1988 - March 16, 1988
GRUNTAL & CO., L.L.C.
April 14, 1987 - February 20, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
December 17, 1985 - May 26, 1987
LEHMAN BROTHERS 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
Current Firm
CHICAGO INVESTMENT GROUP, LLC
CRD#: 11853 / SEC#: , 8-27507
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 2 |
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.
