James A. Maher
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 Anthony Maher 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 65, Series 63, SIE 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
June 26, 2013 - May 1, 2024
CROWN CAPITAL SECURITIES, L.P.
June 26, 2013 - May 1, 2024
CROWN CAPITAL SECURITIES, L.P.
September 30, 2010 - July 10, 2013
EQUITABLE ADVISORS, LLC
September 30, 2010 - July 10, 2013
EQUITABLE ADVISORS, LLC
October 31, 2008 - October 6, 2010
OSAIC SERVICES, INC.
October 31, 2008 - October 6, 2010
OSAIC SERVICES, INC.
December 3, 2004 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
December 3, 1997 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
May 24, 1993 - December 1, 1997
HORNOR, TOWNSEND & KENT, LLC
April 1, 1989 - December 11, 1992
HORNOR, TOWNSEND & KENT, LLC
December 4, 1986 - March 3, 1989
BERKSHIRE EQUITY SALES, 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
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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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