James G. Gannon
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 Gerard Gannon, who also goes by James G Gannon, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 7 firms and has passed the Series 63, Series 55 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
March 23, 2010 - May 28, 2013
G&L PARTNERS, INC.
April 24, 2007 - May 27, 2008
ACCESS SECURITIES, LLC
May 18, 2004 - June 21, 2006
COMMERZ MARKETS LLC
June 29, 1998 - May 7, 2004
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
June 3, 1996 - September 2, 1997
SBC WARBURG, INC.
January 11, 1993 - June 3, 1996
S.G. WARBURG & 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
Series 55
Date: 12/14/1999
Limited Representative-Equity Trader ExamCurrent Firm
G&L PARTNERS, INC.
CRD#: 129605 / SEC#: , 8-66236
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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