James J. Macgilvray
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 Jr Macgilvray, who also goes by James Patrick Macgilvray Jr, James Patrick Macgilvray, Jim Macgilvray Jr, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 5 firms and has passed the SIE and Series 19 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2024 - October 16, 2024
LIVERMORE TRADING GROUP, INC.
March 12, 2018 - December 13, 2023
TRADEMAS INC.
April 19, 2017 - January 2, 2018
TRADEMAS INC.
September 19, 2006 - July 9, 2007
LIPARI PARTNERS INC.
October 14, 2004 - September 15, 2006
MOORS & CABOT, INC.
May 1, 1995 - October 11, 2004
STIFEL, NICOLAUS & COMPANY, INCORPORATED
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
Series 19
Date: 5/18/2017
NYSE Floor Clerk - Equities ExaminationCurrent Firm
LIVERMORE TRADING GROUP, INC.
CRD#: 32968 / SEC#: , 8-45248
Contact information
FINRA licenses (4 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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