James M. Reardon
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 Malcolm Reardon, who also goes by James M Reardon, Jim Reardon, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 7 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2011 - August 29, 2011
NELSONREID, INC.
October 19, 2007 - February 24, 2011
ALTERNATIVE WEALTH STRATEGIES, INC.
April 11, 1997 - February 3, 1999
GUARDIAN INVESTOR SERVICES LLC
September 20, 1994 - May 3, 1995
CHEMICAL INVESTMENT SERVICES CORP.
March 15, 1994 - September 27, 1994
MONY SECURITIES CORPORATION
November 24, 1993 - March 17, 1994
WALL STREET ACCESS
February 18, 1993 - November 24, 1993
LINCOLN FINANCIAL DISTRIBUTORS, 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
Current Firm
NELSONREID, INC.
CRD#: 45503 / SEC#: , 8-51060
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 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.
