James C. Pangione
Professional summary
James Christopher Pangione 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 INVESTORS CAPITAL CORP., STONEX SECURITIES INC., COMMERCE ONE FINANCIAL INC., CANTELLA & CO. INC., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2003 - August 13, 2003
INVESTORS CAPITAL CORP.
September 26, 2002 - April 17, 2003
STONEX SECURITIES INC.
December 12, 2001 - September 25, 2002
COMMERCE ONE FINANCIAL INC.
July 27, 1998 - December 17, 2001
CANTELLA & CO., INC.
February 22, 1993 - July 22, 1998
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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