James J. Harrington
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 Harrington JR, who also goes by (jr) Jay Harrington, Jay Harrington, 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 63 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
January 7, 2005 - February 9, 2005
GUNNALLEN FINANCIAL, INC
June 29, 2004 - January 7, 2005
ASG SECURITIES, INC.
July 23, 1997 - July 30, 1998
THE HAMILTON-SHEA GROUP, INC.
June 2, 1995 - April 26, 1996
JWGENESIS SECURITIES, INC.
September 25, 1992 - April 19, 1995
ROYAL PALM INVESTMENTS, LTD.
October 16, 1991 - September 17, 1992
GRUNTAL & CO., L.L.C.
July 25, 1990 - September 23, 1991
PRUDENTIAL EQUITY GROUP, LLC
January 16, 1989 - July 25, 1990
CIBC WORLD MARKETS CORP.
December 23, 1987 - January 25, 1989
LEHMAN BROTHERS 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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
