James W. Hetherington
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 W Hetherington, who also goes by James William Hetherington Jr, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 18 firms and has passed the Series 63, SIE, Series 55 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
December 10, 2015 - February 26, 2016
SEIDEL & CO., LLC
November 3, 2015 - December 1, 2015
THE VERTICAL GROUP
March 30, 2015 - July 7, 2015
LPS CAPITAL LLC
February 19, 2013 - January 30, 2015
ACCESS SECURITIES, LLC
June 28, 2011 - February 19, 2013
BROOKVIEW CAPITAL LLC
October 19, 2010 - June 29, 2011
OPPENHEIMER & CO. INC.
January 22, 2010 - May 25, 2010
GFI SECURITIES LLC
November 13, 2007 - October 23, 2009
TP ICAP GLOBAL MARKETS AMERICAS LLC
November 21, 2006 - October 19, 2007
ICE BONDS SECURITIES CORPORATION
July 26, 2006 - December 7, 2006
CREDITEX GROUP, INC.
July 27, 2005 - March 28, 2006
TRADITION SECURITIES AND DERIVATIVES LLC
July 12, 2004 - July 19, 2005
CHAPDELAINE CORPORATE SECURITIES & CO
October 13, 2003 - March 15, 2004
WELLS FARGO INVESTMENTS, LLC
January 4, 2001 - May 1, 2002
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
May 23, 2000 - September 12, 2000
LEGG MASON WOOD WALKER, INCORPORATED
September 8, 1998 - October 9, 1998
FIRST UNION BROKERAGE SERVICES, INC.
January 16, 1995 - April 8, 1998
INTERCAPITAL GOVERNMENT SECURITIES INC.
July 25, 1987 - May 10, 1993
CANTOR FITZGERALD SECURITIES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 11/27/2001
Limited Representative-Equity Trader ExamCurrent Firm
SEIDEL & CO., LLC
CRD#: 42821 / SEC#: , 8-50016
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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