James Langley
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 Langley was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 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
June 14, 2011 - April 29, 2016
M&T SECURITIES, INC.
May 13, 2008 - June 22, 2011
ROOSEVELT & CROSS, INCORPORATED
December 21, 2005 - October 24, 2006
CLEARBRIDGE INVESTMENTS, LLC
December 1, 2005 - October 3, 2007
FRANKLIN DISTRIBUTORS, LLC
September 27, 1994 - December 19, 2005
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
June 24, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
November 27, 1991 - March 4, 1992
R.W. SMITH & ASSOCIATES, LLC
June 28, 1990 - September 30, 1991
J.J. KENNY DRAKE, INC.
January 13, 1988 - June 13, 1988
J.J. KENNY DRAKE, INC.
April 9, 1987 - May 27, 1987
TP ICAP GLOBAL MARKETS AMERICAS 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
M&T SECURITIES, INC.
CRD#: 17358 / SEC#: , 8-35185
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M&T BANK CORPORATION | SHAREHOLDER | |
| BRETT, MICHELLE THERESE | DIRECTOR | 7965730 |
| COLLINS, ATWOOD III | DIRECTOR | 5634496 |
| DETTMANN, BRIAN JOHN | DIRECTOR | 4659106 |
| GIORGIO, HUGH EVANS | DIRECTOR | 7535939 |
| HOGAN, PAUL JOSEPH | DIRECTOR | 2849151 |
| NEWCOMB, MICHAEL FRANCIS II | DIRECTOR | 2097837 |
| PETRUS, TANYA MARIE | FINOP | 4848556 |
| REILLY, MICHAEL MACKAY | DIRECTOR | 4575618 |
| REMORENKO, ALEXSANDRA | CHIEF COMPLIANCE OFFICER | 5699601 |
| REMORENKO, ALEXSANDRA | PRESIDENT | 5699601 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 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.
