James J. Ciampi
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 Ciampi was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 5 firms and has passed the Series 63, SIE and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 1996 - December 5, 2016
SENTINEL BROKERS COMPANY, INC.
August 30, 1995 - October 24, 1996
FINANCIAL SQUARE PARTNERS
April 7, 1994 - August 8, 1995
W.A. CAPITAL MARKETS
May 26, 1987 - January 29, 1994
WOLFE & HURST BOND BROKERS INC.
December 2, 1986 - May 26, 1987
WOLFE & HURST SECURITIES 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
SENTINEL BROKERS COMPANY, INC.
CRD#: 40305 / SEC#: , 8-49005
Contact information
FINRA licenses (5 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SENTINEL BROKERS LLC | SHAREHOLDER | |
| SED CAPITAL PTE LTD | OWNER | |
| LAWLESS, JOSEPH MATHEW | CEO, CCO | 1783307 |
Disclosures
| Regulatory Event | 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.
