James A. Fagan
Professional summary
James Aloysius Fagan, who also goes by James A Fagan, Jim Fagan, is a registered financial professional currently at NW CAPITAL MARKETS INC. located in Bloomfield, New Jersey.
James is registered as a RR (Registered Representative) and started their career in finance in 1972. James has worked at 9 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 7TO, Series 79TO, SIE, Series 50, Series 1, Series 24, Series 27 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Aloysius Fagan's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 31, 1999 - Present
NW CAPITAL MARKETS INC.
Office #1: 522 Broad Street, Bloomfield, NJ 07003April 23, 1992 - June 5, 2000
ICAP FINANCIAL, INC.
November 3, 1988 - November 15, 1991
PACIFICORP CAPITAL SECURITIES, INC.
October 9, 1979 - December 15, 1987
THOMSON MCKINNON SECURITIES INC.
July 13, 1979 - October 28, 1979
GMS GROUP
November 14, 1978 - October 15, 1983
MOORE & SCHLEY, CAMERON & CO.
February 24, 1978 - December 27, 1978
MORGAN STANLEY DW INC.
January 7, 1977 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
July 3, 1972 - January 8, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
(9/28/2016)
(5/16/2017)
(5/12/1999)
(3/31/1999)
(2/13/2018)
(3/5/2010)
(2/14/2018)
(5/31/2017)
(2/9/2018)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 1
Date: 6/28/1972
Registered Representative ExaminationFINRA
Current Firm
NW CAPITAL MARKETS INC.
CRD#: 17622 / SEC#: , 8-35363
Contact information
FINRA licenses (12 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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