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JT

James P. Tarone

Some features on this profile are disabled
CRD#: 2289784
JT

Professional summary

James Peter Tarone was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, James had worked at 5 firms, which includes BOLTON GLOBAL CAPITAL, FIRST UNION CAPITAL MARKETS CORP., CITIGROUP GLOBAL MARKETS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, JANNEY MONTGOMERY SCOTT LLC.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 23, 1996 - August 27, 1997

BOLTON GLOBAL CAPITAL

BD
CRD#: 15650
BOLTON, MA
Past

June 19, 1995 - May 14, 1996

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

May 2, 1994 - May 18, 1995

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 16, 1993 - May 2, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

March 5, 1993 - July 15, 1993

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/5/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/1/1993
General Securities Representative Examination

Current Firm

BG
BOLTON GLOBAL CAPITAL
BOLTON GLOBAL CAPITAL | DELTA EQUITY SERVICES CORPORATION | CLARY FINANCIAL PLANNING SERVICES INC. | CLARY FINANCIAL PLANNING SERVICES

CRD#: 15650 / SEC#: , 8-33222

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
579 Main Street, Bolton, MA 01740
Mailing Address
579 Main Street, Bolton, MA 01740
Phone number
(978) 779-5361
Established
Massachusetts since 11/29/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GRENIER, RAYMOND GERARDCHAIRMAN OF THE BOARD1404159
BEALS, MATTHEW GEORGEPRESIDENT AND CHIEF OPERATING OFFICER5157251
CATALDO, JOHN GENNAROCHIEF ADMINISTRATIVE AND LEGAL OFFICER5707721
MAHLE, DAPHNE JANECHIEF COMPLIANCE OFFICER4367277
PRESKENIS, STEVEN CHRISTOPHERCHIEF EXECUTIVE OFFICER4410822
TARPEY, STEVEN RCHIEF FINANCIAL OFFICER6640625

Disclosures

Regulatory Event11
Arbitration3
Bond4

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.

Company Information

BOLTON GLOBAL CAPITAL

CRD#: 15650

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