James E O'rourke
Professional Summary
James E O'rourke, who also goes by Shamus Edward O'rourke, Shamus O'rourke, James Edward Orourke III, James Edward Orourke, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1993 - 2025. James had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31, Series 7, Series 6, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Shamus Edward O'rourke, Shamus O'rourke, James Edward Orourke Iii, James Edward Orourke
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
AURORA FINANCIAL SERVICES, L.L.C. | HAYDEN & ASSOCIATES | FOUR POINTS CAPITAL PARTNERS LLC
Contact Information
Main Address
55a E. Ridgewood Avenue Suite 12, Ridgewood, NJ 07450Mailing Address
55a E. Ridgewood Avenue Suite 12, Ridgewood, NJ 07450Phone Number
(212) 257-5240Established
Texas since 07/23/1997Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 1993About the Series 6 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Aug 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Aug 2023About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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