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JM

James A. Madorma

Some features on this profile are disabled
CRD#: 1646901
JM

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 Anthony Madorma, who also goes by Jim Anthony Madorma, Jim Madorma, Jim Anthony Modorma, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1987. James had worked at 12 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Anthony Madorma | Jim Madorma | Jim Anthony Modorma

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 28, 1993 - April 4, 1994

JOSEPH CHARLES & ASSOC., INC.

BD
CRD#: 3949
Past

April 30, 1993 - June 9, 1993

JOSEPH ROBERTS & CO., INC.

BD
CRD#: 15971
Past

April 6, 1992 - May 4, 1993

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
Past

December 24, 1991 - March 30, 1992

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
Past

March 22, 1991 - June 10, 1991

ADVEST, INC.

BD
CRD#: 10
Past

May 3, 1989 - June 23, 1989

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963
Past

February 14, 1989 - May 17, 1989

J. T. MORAN & CO., INC.

BD
CRD#: 15655
Past

January 18, 1989 - January 24, 1989

AMERIMUTUAL CORPORATION

BD
CRD#: 15573
Past

August 5, 1988 - November 25, 1988

MARSHALL DAVIS, INC.

BD
CRD#: 16278
Past

May 31, 1988 - July 28, 1988

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096
Past

January 6, 1988 - June 10, 1988

F.D. ROBERTS SECURITIES, INC.

BD
CRD#: 693
Past

May 21, 1987 - August 3, 1987

STEINBERG & LYMAN

BD
CRD#: 15704

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/2/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/1987
General Securities Representative Examination

Current Firm

JC
JOSEPH CHARLES & ASSOC., INC.
COOPER INVESTMENTS, INC. | JOSEPH CHARLES & ASSOCIATES, INC. | JOSEPH CHARLES & ASSOC., INC.

CRD#: 3949 / SEC#: , 8-12410

BD
Terminated by SEC on 01/16/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 05/06/1965
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JOSEPH CHARLES & COMPANYSHAREHOLDER
PINTSOPOULOS, ANTHONY CDIRECTOR OF COMPLIANCE3216357
SPITLER, ROBERT PENDLETONFINANCIAL OPERATIONS (FN)4050312
VISCONTI, JOSEPH CHARLESPRESIDENT/CEO/DIRECTOR1434573

Disclosures

Regulatory Event11
Arbitration6

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.

Company Information

JOSEPH CHARLES & ASSOC., INC.

CRD#: 3949

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