James H. Bond
Professional summary
James Henry Bond III 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 1997. Prior to being barred, James had worked at 4 firms, which includes M.S. FARRELL & COMPANY INC., THINKEQUITY LLC, KEATON FINANCIAL SERVICES INC., RENAISSANCE FINANCIAL SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2000 - May 11, 2001
M.S. FARRELL & COMPANY, INC.
July 19, 2000 - October 23, 2000
THINKEQUITY LLC
November 17, 1998 - July 20, 2000
KEATON FINANCIAL SERVICES, INC.
June 10, 1998 - October 28, 1998
M.S. FARRELL & COMPANY, INC.
February 20, 1997 - February 11, 1998
RENAISSANCE FINANCIAL SECURITIES 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
M.S. FARRELL & COMPANY, INC.
CRD#: 24232 / SEC#: , 8-41157
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M.S. FARRELL HOLDINGS, INC. | OWNS APPLICANT | |
| DRAGON, THEODORE JOSEPH | DIRECTOR OF COMPLIANCE | 2831853 |
| GALLO, THOMAS ANTHONY | CHIEF EXECUTIVE OFFICER | 1705791 |
| NEUHAUS, LEONARD ALAN | CHIEF FINANCIAL OFFICER | 1871294 |
| REMPEL, BRENDAN CHRISTOPHER | PRESIDENT | 2121458 |
| SCHACKER, KEITH STUART | CHIEF OPERATING OFFICER/SROP/CROP | 1392793 |
| SCHACKER, MARTIN FARRELL | CHAIRMAN | 1133567 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 7 |
Red Flags
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