James J. Faloni
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 Jason Faloni was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 4 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2011 - June 27, 2013
COASTAL TRADE SECURITIES, LLC
January 13, 2009 - July 30, 2009
ECHOTRADE LLC
August 21, 2003 - November 10, 2005
TAFFERER TRADING, LLC
May 29, 2001 - June 5, 2001
TAFFERER TRADING, LLC
July 28, 1997 - May 26, 1999
TAFFERER TRADING, LLC
March 18, 1993 - April 16, 1993
AMERIPRISE ADVISOR SERVICES, INC.
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: 8/7/2003
Limited Representative-Equity Trader ExamCurrent Firm
COASTAL TRADE SECURITIES, LLC
CRD#: 148246 / SEC#: , 8-67999
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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