James N. Darwin
Professional summary
James Newton Darwin II was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, James had worked at 9 firms, which includes PROFUTURES FINANCIAL GROUP INC., VOYA FINANCIAL ADVISORS INC., TRANSAMERICA FINANCIAL ADVISORS LLC, ARAGON FINANCIAL SERVICES INC., NEW ENGLAND SECURITIES, LEHMAN BROTHERS INC., PRUDENTIAL EQUITY GROUP LLC, THE STUART-JAMES COMPANY INCORPORATED, FIDELITY BROKERAGE SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 1998 - October 13, 1999
PROFUTURES FINANCIAL GROUP, INC.
January 13, 1997 - July 16, 1998
VOYA FINANCIAL ADVISORS, INC.
January 25, 1996 - December 4, 1996
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 30, 1994 - December 15, 1995
ARAGON FINANCIAL SERVICES, INC.
February 25, 1992 - July 14, 1992
NEW ENGLAND SECURITIES
April 20, 1989 - July 18, 1991
LEHMAN BROTHERS INC.
July 18, 1988 - February 21, 1989
PRUDENTIAL EQUITY GROUP, LLC
June 2, 1988 - July 9, 1988
THE STUART-JAMES COMPANY, INCORPORATED
February 4, 1988 - March 2, 1988
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
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Exams
Current Firm
PROFUTURES FINANCIAL GROUP, INC.
CRD#: 24328 / SEC#: , 8-41101
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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