James F. Foley
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 Francis Foley was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 3 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2009 - October 11, 2023
EATON VANCE MANAGEMENT
November 1, 1996 - October 11, 2023
EATON VANCE DISTRIBUTORS, INC.
March 28, 1990 - November 1, 1996
EATON VANCE DISTRIBUTORS, INC.
Primary Firm SEC Registration
EATON VANCE MANAGEMENT
CRD#: 104859 / SEC#: 801-15930
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
EATON VANCE MANAGEMENT
CRD#: 104859 / SEC#: 801-15930
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,053 |
| AUM (Assets Under Management) | $ 84,879,368,900 |
Red Flags
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