James N. Mccallum
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 Neal Mccallum, who also goes by James N Mccallum, Jim Mccallum, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 53 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
July 8, 1997 - September 29, 2013
THORNES & ASSOCIATES, INC. INVESTMENT SECURITIES
September 3, 1996 - July 18, 2013
THORNES & ASSOCIATES, INC. INVESTMENT SECURITIES
May 15, 1992 - August 13, 1996
NYLIFE SECURITIES LLC
April 3, 1992 - April 16, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 3, 1992 - April 16, 1992
EQUITABLE ADVISORS, 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
THORNES & ASSOCIATES, INC. INVESTMENT SECURITIES
CRD#: 40868 / SEC#: , 8-49215
Contact information
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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