James F. Rigney
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 Foster Rigney was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 4 firms and has passed the Series 65, 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
May 15, 2017 - September 8, 2020
NORTHERN CAPITAL SECURITIES CORPORATION
October 1, 2015 - September 8, 2020
NORTHERN CAPITAL SECURITIES CORPORATION
April 22, 2013 - May 28, 2015
WELLS FARGO SECURITIES, LLC
June 15, 1992 - February 9, 2012
NATIONAL FINANCIAL SERVICES LLC
September 10, 1987 - March 18, 1992
INTL FCSTONE PARTNERS L.P.
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
NORTHERN CAPITAL SECURITIES CORPORATION
CRD#: 40659 / SEC#: , 8-49130
Contact information
FINRA licenses (25 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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