James J. Fiore
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 Fiore, who also goes by James Fiore, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 4 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 25, Series 24, Series 10 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2006 - February 15, 2023
UPHOLD SECURITIES INC.
October 1, 2000 - February 7, 2006
THE GRISWOLD COMPANY, INCORPORATED
December 19, 1994 - August 6, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 5, 1993 - January 3, 1995
LEHMAN 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 11/30/2007
Limited Representative-Equity Trader ExamSeries 25
Date: 12/9/1999
NYSE Trading Assistant ExaminationCurrent Firm
UPHOLD SECURITIES INC.
CRD#: 34071 / SEC#: , 8-46202
Contact information
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UPHOLD, INC. | PARENT | |
| SNYDER, CURTIS LEE JR | PRESIDENT & COO/CFO/CCO | 1885111 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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