James G. Dore
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 Gerard Dore, who also goes by Jim Dore, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2010 - March 17, 2014
CAVU SECURITIES LLC
November 1, 2006 - January 13, 2009
CAPITAL INVESTMENT GROUP, INC.
January 28, 2002 - November 3, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 29, 1991 - January 25, 2002
SANDS BROTHERS & CO., LTD.
January 29, 1990 - December 7, 1990
RODMAN & RENSHAW INC.
April 14, 1989 - January 30, 1990
TREVOR, COLE, REID, & MONROE, INC.
March 14, 1989 - April 3, 1989
KIRLIN SECURITIES INC.
November 25, 1987 - March 10, 1989
INVESTORS CENTER, 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 8
Date: 7/28/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAVU SECURITIES LLC
CRD#: 6906 / SEC#: , 8-18428
Contact information
FINRA licenses (51 States and Territories)
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.
