James F. Mcconnell
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 Frank Mcconnell was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 7 firms and has passed the Series 63, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2002 - September 26, 2002
AURUM SECURITIES CORP.
August 9, 2001 - September 10, 2002
FAROAH SECURITIES CORP.
April 27, 2001 - July 26, 2001
TAKE CHARGE FINANCIAL
February 2, 1999 - August 27, 1999
PACIFIC ON-LINE TRADING & SECURITIES, INC.
March 28, 1995 - February 10, 1997
FSC SECURITIES CORPORATION
March 23, 1994 - February 11, 1995
BROOKSTREET SECURITIES CORPORATION
December 21, 1993 - March 26, 1994
INTERFIRST CAPITAL CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
AURUM SECURITIES CORP.
CRD#: 38598 / SEC#: , 8-48310
Contact information
Documents
Red Flags
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