James P. Dolan
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 P Dolan, who also goes by James Patrick Dolan Jr, James Dolan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2001. James had worked at 6 firms and has passed the Series 79TO, Series 57TO, Series 99TO, SIE, Series 7 and Series 14 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2022 - May 26, 2022
STANDARD NEW YORK, INC.
August 19, 2019 - December 11, 2020
CREDIT SUISSE SECURITIES (USA) LLC
September 28, 2015 - August 7, 2019
WELLS FARGO SECURITIES, LLC
November 1, 2010 - September 8, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 10, 2001 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
July 16, 2001 - August 27, 2001
GOLDMAN SACHS & CO. LLC
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
STANDARD NEW YORK, INC.
CRD#: 173725 / SEC#: , 8-69552
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANDARD BANK GROUP LIMITED | DIRECT OWNER | |
| DE ZILVA, DERICK PATRICK DIMITRI | DIRECTOR/CEO | 7764495 |
| HALLER, GUIDO ANDRE | NON-EXECUTIVE DIRECTOR | 8001496 |
| HARRINGTON, MAUREEN ANN | DIRECTOR | 5649782 |
| LANCASTER, TIM JAMES | NON-EXECUTIVE DIRECTOR | 6627125 |
| NAVEED, HASNAIN | FINOP / PFO / POO | 7004810 |
| SIMOGLOU, ALEXANDROS | CCO, AMLCO | 7649246 |
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.
