James R. Halloran
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 Ross Halloran was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 6 firms and has passed the Series 86, Series 87, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2009 - January 4, 2011
FINANCIAL AMERICA SECURITIES, INC.
September 3, 1999 - December 31, 2006
NATCITY INVESTMENTS, INC.
November 20, 1991 - November 6, 1998
FINANCIAL AMERICA SECURITIES, INC.
August 2, 1990 - November 21, 1991
AMERICA NORTHCOAST SECURITIES, INC.
May 15, 1989 - July 18, 1990
FIRST OHIO SECURITIES COMPANY
July 29, 1988 - May 13, 1989
CIDCO INVESTMENT SERVICES, INC.
July 23, 1986 - July 29, 1988
FIRST CLEVELAND INVESTMENTS, 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
FINANCIAL AMERICA SECURITIES, INC.
CRD#: 5100 / SEC#: , 8-15719
Contact information
Documents
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 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.
