James W. Garofalo
Professional summary
James William Garofalo JR was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James William Garofalo JR, who also goes by James William Garofalo, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 4 firms and has passed the Series 63 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
September 23, 2008 - June 17, 2010
BROOKVILLE CAPITAL PARTNERS
August 21, 2008 - September 12, 2008
BROOKVILLE CAPITAL PARTNERS
April 17, 1997 - October 15, 1997
D.L. CROMWELL INVESTMENTS, INC.
January 14, 1997 - March 19, 1997
MORGAN, TAYLOR & ASSOCIATES, INC.
January 27, 1994 - December 20, 1996
STRATTON OAKMONT INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BROOKVILLE CAPITAL PARTNERS
CRD#: 102380 / SEC#: , 8-52119
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANTERBURY SECURITIES HOLDINGS INC. | SOLE MEMBER | |
| IEZZONI, GABRIEL ANTHONY | CHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1243767 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 5 |
Red Flags
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