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James Joseph Mccarron Iii

CRD# 2152625·Registered 1991 - 2014
Barred: James Joseph Mccarron III was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

James Joseph Mccarron III, who also goes by James Joseph III Mccarron, Jim Mccarron III, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1991 - 2014. James had worked at 4 firms and has passed the SIE, Series 6 and Series 26 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

James Joseph Iii Mccarron, Jim Mccarron Iii

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

35 years in the financial services industry

Current & Past Employments

J.P. TURNER & COMPANY, L.L.C.·CRD# 43177
BD
Silver Springs, MD
February 24, 2011 - November 21, 2014
QA3 FINANCIAL CORP.·CRD# 14754
BD
Silver Spring, MD
October 26, 2007 - February 11, 2011
SECURITIES AMERICA, INC.·CRD# 10205
BD
Silver Spring, MD
March 17, 1999 - October 16, 2007
OSAIC WEALTH, INC.·CRD# 23131
BD
Scottsdale, AZ
July 18, 1991 - March 16, 1999

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Current Firm

JT
J.P. TURNER & COMPANY, L.L.C.

J.P. TURNER & COMPANY | J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177 / SEC#: 8-50156
BD
Terminated by SEC on 04/04/2016

Contact Information

Established

Georgia since 04/11/1997

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
BRAVES AQUISITION LLCMEMBER—
SHELSON, MARK PAULCORPORATE TREASURER1819252
WOLL, EDWARD BARNETTCHIEF COMPLIANCE OFFICER1096606

Disclosures

Regulatory Event

30

Arbitration

12

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

SIE — Securities Industry Essentials Examination

Passed Nov 2014About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jun 1991About the Series 6 exam

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed Oct 2000About the Series 26 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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JM
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