James A. Liquori
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 Liquori SR was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 1997 - December 23, 1999
TD AMERITRADE, INC.
February 28, 1996 - August 22, 1997
BLACKWELL DONALDSON & COMPANY
April 7, 1995 - September 25, 1997
DONALDSON SECURITIES INCORPORATED
January 18, 1995 - June 30, 1995
CLEARING SERVICES OF AMERICA, INC.
July 29, 1994 - December 13, 1994
LEGEND MERCHANT GROUP, INC.
January 13, 1992 - July 7, 1992
GKN SECURITIES CORP.
October 3, 1990 - January 21, 1991
GKN SECURITIES CORP.
July 31, 1989 - October 19, 1990
FIRST FIDELITY CAPITAL CORP.
April 18, 1989 - August 4, 1989
BLUESTONE CAPITAL CORP.
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
