James A. Ettore
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 Anthony Ettore, who also goes by James A Ettore, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 5 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2000 - January 28, 2004
L.O. THOMAS & CO. INC.
May 3, 1999 - December 15, 2000
1717 CAPITAL MANAGEMENT COMPANY
August 15, 1997 - April 9, 1999
ADVANTAGE CAPITAL CORPORATION
August 1, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
August 1, 1991 - July 25, 1997
PRUCO SECURITIES, LLC.
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
L.O. THOMAS & CO. INC.
CRD#: 23657 / SEC#: , 8-40875
Contact information
FINRA licenses (22 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RISLEY, JOHN WESLEY JR | PRESIDENT, FINOP, CEO,CCO | 844622 |
Disclosures
| Regulatory Event | 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.
