James Callinan
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 Callinan, who also goes by James Martin Callinan, Jim Callinan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 4, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2024 - March 2, 2026
WELLS FARGO SECURITIES, LLC
June 17, 2015 - June 6, 2019
WELLS FARGO SECURITIES, LLC
September 25, 2014 - May 22, 2015
J.P. MORGAN SECURITIES LLC
January 22, 2010 - January 8, 2013
STANCHART SECURITIES INTERNATIONAL, INC.
August 5, 2008 - September 30, 2008
HARRISON LOVEGROVE AMERICAS L.P.
April 23, 2008 - August 20, 2014
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
December 1, 2006 - April 18, 2008
FIVE ARROWS CAPITAL MARKETS LLC
January 2, 2004 - April 11, 2008
ABN AMRO INCORPORATED
August 29, 2001 - January 7, 2004
CREDIT SUISSE SECURITIES (USA) LLC
October 30, 1996 - October 9, 2001
J.P. MORGAN SECURITIES INC.
October 12, 1995 - November 8, 1996
SANTANDER INVESTMENT SECURITIES INC.
October 24, 1994 - September 18, 1995
CIBC WORLD MARKETS CORP.
July 9, 1993 - October 10, 1994
DAIWA CAPITAL MARKETS AMERICA 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 8
Date: 4/17/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 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.
