James J. Hagan
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 Jeffrey Hagan, who also goes by Jeff Hagan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 4 firms and has passed the Series 63, SIE 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
May 27, 2014 - January 22, 2015
GROWTH CAPITAL SERVICES, INC.
February 21, 2008 - April 16, 2012
CANACCORD GENUITY LLC
May 24, 2006 - January 22, 2008
OPPENHEIMER & CO. INC.
January 12, 1996 - July 11, 2002
UBS SECURITIES LLC
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
GROWTH CAPITAL SERVICES, INC.
CRD#: 124658 / SEC#: , 8-65705
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Financial | 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.
