James W. Reidy
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 Walter Reidy, CFP® was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 12 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 6, Series 10, Series 9 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
January 4, 2018 - October 5, 2023
EQUUS FINANCIAL CONSULTING LLC
August 29, 2016 - January 20, 2017
VICTORY CAPITAL SERVICES, INC.
March 4, 2013 - October 31, 2013
TP ICAP GLOBAL MARKETS AMERICAS LLC
August 16, 2011 - December 2, 2011
MF GLOBAL INC.
October 1, 2008 - August 16, 2011
J.P. MORGAN SECURITIES LLC
June 14, 2007 - October 1, 2008
J.P. MORGAN SECURITIES INC.
April 1, 2005 - May 16, 2007
HSBC SECURITIES (USA) INC.
March 24, 2003 - November 11, 2004
UBS CAPITAL MARKETS L.P.
July 26, 2001 - March 20, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 2000 - June 19, 2001
CIBC WORLD MARKETS CORP.
September 24, 1997 - April 12, 2000
WACHOVIA SECURITIES, INC.
June 29, 1992 - June 23, 1993
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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: 12/5/2003
Limited Representative-Equity Trader ExamCurrent Firm
EQUUS FINANCIAL CONSULTING LLC
CRD#: 131449 / SEC#: , 8-66467
Contact information
FINRA licenses (50 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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