James J. Halligan
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 Joseph Halligan was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1968. James had worked at 11 firms and has passed the Series 63, SIE, Series 6, PC, Series 1, Series 8 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2010 - June 17, 2015
ALPS DISTRIBUTORS, INC.
March 24, 2000 - May 30, 2000
LEXIT CAPITAL, LLC
November 8, 1991 - November 13, 1998
ABN AMRO SECURITIES LLC
June 26, 1984 - October 24, 1991
LEHMAN BROTHERS INC.
May 12, 1980 - June 26, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
February 23, 1977 - August 9, 1979
SBC WARBURG DILLON READ INC.
October 28, 1974 - February 28, 1975
KUHN, LOEB & CO. INTERNATIONAL
October 28, 1974 - February 22, 1978
KUHN LOEB & CO. INCORPORATED
February 5, 1974 - February 27, 1977
LOEB RHOADES & CO INCORPORATED
September 15, 1972 - February 28, 1975
LOEB, RHOADES & CO. INC.
March 22, 1968 - June 3, 1972
LEHMAN BROTHERS INCORPORATED
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
PC
Date: 10/5/1983
AMEX Put and Call ExamSeries 1
Date: 1/12/1960
Registered Representative ExaminationSeries 8
Date: 10/29/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Series 00
Date: 1/28/1974
General Securities Principal ExaminationCurrent Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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