James J. Canning
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 Joseph Canning was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 9 firms and has passed the Series 63, Series 22, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2008 - February 22, 2013
STOCK SECURITIES LLC
September 5, 1990 - April 1, 1991
THE WINDMILL GROUP, INC.
May 18, 1990 - September 11, 1990
TITAN/VALUE EQUITIES GROUP, INC.
April 26, 1989 - May 18, 1990
JONATHAN ALAN & CO., INC.
April 5, 1989 - April 27, 1989
MLB INVESTMENTS, LTD.
January 24, 1989 - September 13, 1991
MONMOUTH INVESTMENTS, INC.
January 26, 1988 - February 14, 1989
ANDREW ALEN SECURITIES, INC.
January 13, 1987 - February 12, 1988
FIRST MONTAUK SECURITIES CORP.
December 17, 1985 - January 20, 1987
FIRST JERSEY SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
STOCK SECURITIES LLC
CRD#: 32244 / SEC#: , 8-45650
Contact information
FINRA licenses (17 States and Territories)
Disclosures
| Regulatory Event | 2 |
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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