James L. Haggerty
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 Leo Haggerty was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2018 - October 1, 2021
CARILLON FUND DISTRIBUTORS, INC.
December 24, 2015 - August 29, 2017
DIMENSIONAL FUND ADVISORS LP
December 24, 2015 - August 29, 2017
DFA SECURITIES LLC
March 31, 2014 - October 19, 2015
NORTHERN TRUST SECURITIES, INC.
June 20, 2013 - November 11, 2013
THE LONDON COMPANY OF VIRGINIA
April 21, 2006 - May 30, 2013
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
December 5, 2003 - September 26, 2005
ARIEL DISTRIBUTORS, LLC
September 21, 2001 - October 23, 2003
HARBOR FUNDS DISTRIBUTORS, INC.
May 9, 1996 - September 21, 2001
HCA SECURITIES, INC.
February 1, 1994 - October 4, 1994
MORGAN STANLEY DW 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
Current Firm
CARILLON FUND DISTRIBUTORS, INC.
CRD#: 139749 / SEC#: , 8-67244
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EAGLE ASSET MANAGEMENT INC | PARENT COMPANY | 110653 |
| EDWARDS, CHARLES MICHAEL | DIRECTOR | 5342028 |
| GEORGIEV, TSVETELINA ELKOVA | CCO | 5130225 |
| GERVAIS, BRYAN L | CFO, PRINCIPAL FINANCIAL OFFICER / FINOP, DIRECTOR | 5286391 |
| LILLIAN, JORDAN ALEXANDER | CEO, PRESIDENT, DIRECTOR | 5444726 |
| SOUSA, DAMIAN DANIEL | DIRECTOR | 2061882 |
| WALZER, SUSAN LAVELLE | DIRECTOR | 2976646 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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