James A. Conlin
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 Anthony Conlin was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 6 firms and has passed the Series 63, Series 55, Series 7, Series 6, Series 14, Series 24 and Series 28 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2012 - May 6, 2013
SWARTWOOD, HESSE INC.
February 2, 2001 - April 13, 2010
KABRIK TRADING LLC
April 4, 2000 - September 21, 2000
DIRECT BROKERAGE, INC.
March 26, 1999 - May 4, 2000
D.H. BLAIR INVESTMENT BANKING CORP.
February 12, 1993 - July 1, 1994
MIDAS SECURITIES GROUP, INC.
February 12, 1993 - August 29, 1994
BULL & BEAR SECURITIES, 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
What does exam status mean?
Series 6
Passed: 2/10/1993
Series 28
Passed: 11/7/2000
Current Firm
SWARTWOOD, HESSE INC.
CRD#: 8603 / SEC#: , 8-25778
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KATZ, MARIE | FINANCIAL AND OPERATIONS PRINCIPAL AND CCO | 2457660 |
Disclosures
| Regulatory Event | 5 |
| 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.
