James D. Taliaferro
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 Donnell Taliaferro, who also goes by James Taliaferro, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 10 firms and has passed the Series 63, Series 57TO, Series 7TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2012 - January 8, 2021
TULLETT PREBON FINANCIAL SERVICES LLC
May 13, 2008 - March 20, 2012
CHAPDELAINE TULLETT PREBON, LLC
August 1, 2005 - May 12, 2008
R.W.PRESSPRICH & CO.
July 1, 2005 - July 21, 2005
TOWER SQUARE SECURITIES, INC.
April 30, 2004 - July 21, 2005
WALNUT STREET SECURITIES, INC.
April 30, 2004 - July 21, 2005
NEW ENGLAND SECURITIES
April 30, 2004 - July 21, 2005
METROPOLITAN LIFE INSURANCE COMPANY
April 30, 2004 - July 21, 2005
MSI FINANCIAL SERVICES, INC.
November 23, 1999 - March 18, 2003
WEDBUSH SECURITIES INC.
February 8, 1995 - January 13, 1998
SALOMON BROTHERS 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 12/22/2022
General Securities Representative ExaminationSeries 55
Date: 3/12/2007
Limited Representative-Equity Trader ExamCurrent Firm
TULLETT PREBON FINANCIAL SERVICES LLC
CRD#: 28196 / SEC#: , 8-43487
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 17 |
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.
