James S. Mcgowan
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 S Mcgowan, who also goes by James Staunton Mcgowan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 11 firms and has passed the Series 63, SIE, Series 99, Series 55 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 1, 2017 - January 3, 2019
LLOYDS SECURITIES
September 30, 2014 - October 26, 2015
NATWEST MARKETS SECURITIES INC.
May 31, 2006 - January 3, 2007
SEARLE & CO.
August 25, 2003 - June 9, 2004
O'BRIEN & SHEPARD, INC.
July 22, 1997 - March 21, 2003
KNIGHT CAPITAL MARKETS LLC
February 16, 1995 - June 27, 1997
J. B. HANAUER & CO.
February 21, 1994 - April 20, 1994
IDS LIFE INSURANCE COMPANY
February 21, 1994 - April 20, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
December 3, 1992 - October 19, 1993
GRUNTAL & CO., L.L.C.
October 12, 1990 - June 13, 1992
TRIMARK SECURITIES, INC.
April 25, 1989 - May 9, 1990
PHOENIX CAPITAL MARKETS, INC.
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 55
Date: 12/8/1999
Limited Representative-Equity Trader ExamCurrent Firm
LLOYDS SECURITIES
CRD#: 154515 / SEC#: , 8-68647
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LLOYDS AMERICA SECURITIES CORPORATION | SHAREHOLDER-COMMON STOCK | |
| CRAWFORD, SUSAN ADELAIDE | HEAD OF RISK | 7415877 |
| FALLAN, WESLEY ROBERT | PRESIDENT OF LLOYDS SECURITIES | 6313069 |
| HOUGHTON, ROSS ANDREW | CHIEF FINANCIAL OFFICER, NA | 6493863 |
| MANSFIELD, WILLIAM RENICK JR | CEO AND COUNTRY HEAD, LLOYDS BANK CORPORATE MARKETS, NORTH AMERICA | 1398078 |
| NADEL, MITCHELL NEIL | HEAD OF FINANCIAL MARKETS | 6157639 |
| ROWLANDS, MARK KEITH | PRINCIPAL FINANCIAL OFFICER & TREASURER | 6601550 |
| SMITH, KELVINA MONIQUE | CHIEF LEGAL OFFICER, LSI | 7419693 |
| STEINBERG, MICHAEL NMN | CHIEF COMPLIANCE OFFICER | 1062776 |
| TRYPHONIDES, NICHOLAS | PRINCIPAL OPERATIONS OFFICER (POO), SECRETARY | 6446246 |
Red Flags
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