James W. Dibella
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 William Dibella JR was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 1995 - February 20, 1997
FIRST COLONIAL SECURITIES
May 8, 1995 - December 21, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 29, 1994 - March 13, 1996
OPPENHEIMER & CO. INC.
August 19, 1994 - September 15, 1994
H.J. MEYERS & CO., INC.
August 5, 1994 - August 19, 1994
WESTFIELD FINANCIAL CORPORATION
January 29, 1991 - September 12, 1994
HIBBARD BROWN & CO., 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
FIRST COLONIAL SECURITIES
CRD#: 25121 / SEC#: , 8-41587
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLONIAL DIRECT FINANCIAL GROUP, INC. | HOLDING CORPORATION | |
| AXELROD, IRWIN | SENIOR AND COMPLIANCE REGISTERED OPTIONS PRINCIPAL | 9180 |
| CAMPANELLA, RICHARD ANTHONY | COO AND BOCA RATON BRANCH MANAGER | |
| GALTERIO, RICHARD LOUIS | BRANCH MANAGER-NEW YORK | 1466226 |
| MARTIN, JEFFREY STEVEN | MUNICIPAL PRINCIPAL | 321321 |
| MIRMAN, ALVIN SAUL | DIRECTOR OF RESEARCH | |
| MIRMAN, ALVIN SAUL | FINANCIAL AND OPERATIONS PRINCIPAL | |
| MOSS, MICHAEL EARL | DIRECTOR | 601445 |
| SIEGEL, MARC NEIL | PRESIDENT & CEO | 1449845 |
Disclosures
| Regulatory Event | 8 |
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.
