James T. O'hora
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 Thomas O'hora, who also goes by James Thomas Ohora, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 7 firms and has passed the Series 66, 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
April 28, 2010 - February 26, 2016
OMNICAP, LLC
July 6, 2009 - April 19, 2010
TULLETT PREBON FINANCIAL SERVICES LLC
July 6, 2007 - November 10, 2008
NYPPEX, LLC
June 30, 2005 - January 30, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 2005 - January 30, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 14, 1991 - May 20, 1995
UBS FINANCIAL SERVICES INC.
March 30, 1989 - April 17, 1990
SALOMON BROTHERS INC.
February 23, 1988 - March 15, 1989
MORGAN STANLEY DW 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
OMNICAP, LLC
CRD#: 137353 / SEC#: , 8-67082
Contact information
FINRA licenses (3 States and Territories)
Documents
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.
