James P. Cross
Professional summary
James Patrick Cross 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 1989. Prior to being barred, James had worked at 5 firms, which includes STANFORD GROUP COMPANY, CONCOURSE FINANCIAL GROUP SECURITIES INC., CAPITAL ONE INVESTMENTS LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, F.N. WOLF & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2005 - March 30, 2009
STANFORD GROUP COMPANY
October 19, 1999 - September 19, 2001
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 18, 1993 - October 8, 1999
CAPITAL ONE INVESTMENTS, LLC
June 27, 1991 - May 4, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 23, 1989 - July 5, 1991
F.N. WOLF & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
STANFORD GROUP COMPANY
CRD#: 39285 / SEC#: 801-50374, 8-48611
Contact information
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 4 |
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