James E. Davey
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 Edward Davey, who also goes by James E Davey, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2010 - December 13, 2012
GLOBAL ATLANTIC DISTRIBUTORS, LLC
October 29, 2008 - April 4, 2025
HARTFORD FUNDS DISTRIBUTORS, LLC
October 9, 2008 - February 7, 2013
HIMCO DISTRIBUTION SERVICES COMPANY
January 19, 2006 - February 7, 2013
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
August 27, 2003 - February 29, 2008
HIMCO DISTRIBUTION SERVICES COMPANY
November 11, 1992 - December 10, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 28, 1990 - June 12, 1992
CITISTREET EQUITIES LLC
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
GLOBAL ATLANTIC DISTRIBUTORS, LLC
CRD#: 8326 / SEC#: , 8-25027
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GLOBAL ATLANTIC (FIN) COMPANY | OWNER | |
| BICKLER, JASON ALEXANDER | PRESIDENT AND MANAGER | 4164884 |
| MOORCROFT, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER | 4258952 |
| NELSON, PAULA GENEVIEVE | MANAGER, HEAD OF DISTRIBUTION | 2015528 |
| PAULOUSKY, MICHAEL RYAN | TREASURER | 7339297 |
| RAMOS, SAMUEL | GENERAL COUNSEL AND SECRETARY | 6722343 |
| RIP, OLGA | FINOP AND CHIEF FINANCIAL OFFICER | 5440553 |
| RUTHERFORD, KELLY JUNE | SENIOR VICE-PRESIDENT | 7282305 |
| SIEGEL, DEAN CYRUS | VICE PRESIDENT | 3224832 |
| TODD, ERIC DAVID | MANAGER | 2175308 |
| WEISS, DAVID LEE | SENIOR VICE PRESIDENT | 2345057 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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