James F. Viggiano
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 Francis Viggiano JR, who also goes by Jamie VIggiano, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 15 firms and has passed the Series 63, Series 22 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2005 - September 12, 2005
BLUE MOON FINANCIAL, LLC
August 25, 2000 - September 27, 2001
TRI-STAR FINANCIAL
June 11, 1999 - July 14, 2000
SPIRES FINANCIAL, L.P.
February 18, 1999 - April 21, 1999
SUTRO & CO. INCORPORATED
August 4, 1998 - February 10, 1999
BALLPARK SECURITIES, LLC
February 7, 1998 - June 23, 1998
NEWEDGE USA, LLC
October 3, 1997 - January 6, 1998
THE BOSTON GROUP
July 18, 1995 - July 26, 1996
MEYERS POLLOCK ROBBINS, INC.
August 28, 1994 - June 5, 1995
AMHERST SECURITIES GROUP, L.P.
May 4, 1993 - August 22, 1994
ALEX. BROWN & SONS INCORPORATED
February 24, 1992 - April 14, 1993
GOVERNMENT SECURITIES CORPORATION
October 28, 1991 - January 1, 1992
WESTCAP SECURITIES, L.P.
October 28, 1991 - January 1, 1992
WESTCAP GOVERNMENT SECURITIES, INC.
January 23, 1991 - October 4, 1991
M.G.S.I. SECURITIES, INC.
December 17, 1990 - January 9, 1991
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, 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
Exams
Current Firm
BLUE MOON FINANCIAL, LLC
CRD#: 123224 / SEC#: , 8-65576
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 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.
