James E. O'rourke
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 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 professional .
James is a previously registered financial professional and started their career in finance in 1993. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2023 - April 9, 2025
FOUR POINTS CAPITAL PARTNERS LLC
March 10, 2011 - March 3, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 10, 2011 - March 3, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2009 - March 18, 2011
MORGAN STANLEY
June 1, 2009 - March 18, 2011
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
June 12, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
June 12, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
May 4, 2001 - May 19, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 30, 2001 - May 19, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 16, 1998 - March 26, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 1996 - August 25, 1998
COMMONWEALTH FINANCIAL NETWORK
January 4, 1995 - March 20, 1995
NICHOLAS-APPLEGATE SECURITIES LLC
April 22, 1993 - December 6, 1994
FISCO EQUITY, 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 7TO
Date: 8/1/2023
General Securities Representative ExaminationCurrent Firm
FOUR POINTS CAPITAL PARTNERS LLC
CRD#: 43149 / SEC#: , 8-50162
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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