James D. Townsend
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 Douglas Townsend, who also goes by Doug Townsend, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2018 - July 1, 2019
ESPOSITO SECURITIES, LLC
January 11, 2017 - August 31, 2018
G.F. INVESTMENT SERVICES, LLC
November 6, 2013 - January 9, 2017
ESPOSITO SECURITIES, LLC
March 9, 2005 - April 3, 2012
CURIAN CLEARING, LLC
February 25, 2004 - July 19, 2012
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
July 14, 1995 - March 9, 1999
NATCITY INVESTMENTS, INC.
April 15, 1994 - March 16, 1995
RCG/RESERVE CAPITAL GROUP LIMITED PARTNERSHIP
February 2, 1990 - July 14, 1995
RAFFENSPERGER, HUGHES & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
ESPOSITO SECURITIES, LLC
CRD#: 143710 / SEC#: , 8-67596
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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