James R. Pimonte
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 Ronald Pimonte was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 8 firms and has passed the Series 63, Series 7, Series 6 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
January 20, 1998 - December 3, 2001
CONTINENTAL BROKER-DEALER CORP.
March 8, 1995 - January 30, 1996
INVESTMENT ADVISORS & CONSULTANTS, INC.
August 29, 1994 - March 6, 1995
CONSECO SECURITIES, INC.
August 4, 1994 - August 17, 1994
ESSEX NATIONAL SECURITIES, LLC
August 2, 1994 - March 9, 1995
CHEMICAL INVESTOR SERVICES, INC.
April 29, 1994 - August 17, 1994
ESSEX NATIONAL SECURITIES, LLC
April 28, 1994 - April 28, 1994
ESSEX NATIONAL SECURITIES, LLC
October 13, 1992 - May 3, 1994
SEI INVESTMENTS DISTRIBUTION CO.
January 17, 1990 - September 30, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 17, 1990 - September 30, 1992
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CONTINENTAL BROKER-DEALER CORP.
CRD#: 14048 / SEC#: , 8-43159
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 15 |
Red Flags
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