James A. Feeley
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 Aloysius Feeley JR, who also goes by James Aloysius Feeley, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 12 firms and has passed the Series 63, Series 7, Series 1, Series 24, Series 40 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 1994 - December 22, 1995
WINSLOW, EVANS & CROCKER, INC.
August 29, 1991 - March 5, 1992
SCHNEIDER SECURITIES, INC.
January 18, 1989 - June 30, 1989
J. T. MORAN & CO., INC.
July 11, 1985 - May 1, 1987
NORTH AMERICAN INVESTMENT CORP.
April 18, 1985 - June 6, 1985
NORTH AMERICAN INVESTMENT CORP.
October 26, 1984 - February 21, 1985
NORTH AMERICAN INVESTMENT CORP.
May 16, 1983 - May 17, 1983
CLAYTON, POLLEYS & CO., INC.
June 1, 1981 - June 9, 1982
OTC NET INCORPORATED
April 3, 1978 - September 10, 1980
WILLIAM S. PRESCOTT & CO., INC.
December 16, 1976 - August 27, 1977
HODGDON & COMPANY
January 2, 1976 - December 15, 1976
DEAN WITTER & CO. INCORPORATED
March 10, 1972 - December 16, 1972
FAHNESTOCK INTERNATIONAL INC.
July 9, 1971 - April 26, 1972
CLARK, DODGE & CO., INCORPORATED
December 9, 1969 - August 7, 1971
KIDDER, PEABODY & CO., INCORPORATED
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
Series 1
Date: 12/5/1969
Registered Representative ExaminationSeries 40
Date: 12/3/1977
Registered Principal ExaminationF04
Date: 11/12/1977
Financial Principal ExaminationCurrent Firm
WINSLOW, EVANS & CROCKER, INC.
CRD#: 29686 / SEC#: 801-63905, 8-44347
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | SOLE SHAREHOLDER | |
| BERLINE, LEONID | CHIEF COMPLIANCE OFFICER | 3027633 |
Disclosures
| Regulatory Event | 4 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
