James J. Donovan
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 Donovan III, who also goes by James Joseph Donovan Jr, James Joseph Donovan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 15 firms and has passed the Series 63, Series 7 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
May 7, 2004 - August 10, 2005
MARQUIS FINANCIAL SERVICES, INC.
January 11, 2001 - June 3, 2002
FIRST MONTAUK SECURITIES CORP.
September 29, 2000 - December 20, 2000
INSTITUTIONAL EQUITY CORPORATION
August 1, 2000 - September 29, 2000
NORTHRIDGE CAPITAL CORPORATION
January 10, 2000 - July 18, 2000
BENSON YORK GROUP, INC.
August 31, 1999 - December 9, 1999
INSTITUTIONAL EQUITY CORPORATION
October 9, 1998 - July 28, 1999
R.D. WHITE & CO., INC.
November 18, 1997 - September 1, 1998
JOSEPH DILLON & COMPANY INC.
August 27, 1997 - November 21, 1997
W.J. NOLAN & COMPANY, INC.
April 9, 1997 - August 28, 1997
BRIARWOOD INVESTMENT COUNSEL
January 28, 1997 - March 28, 1997
J.W. BARCLAY & CO., INC.
June 27, 1996 - December 19, 1996
CONTINENTAL BROKER-DEALER CORP.
June 4, 1996 - July 19, 1996
H.J. MEYERS & CO., INC.
February 9, 1996 - June 5, 1996
COLIN WINTHROP & CO., INC.
June 5, 1995 - February 7, 1996
FIRST ASSET MANAGEMENT, INC.
April 3, 1995 - June 6, 1995
CHATFIELD DEAN & CO., INC.
March 28, 1994 - April 10, 1995
CONTINENTAL BROKER-DEALER CORP.
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
MARQUIS FINANCIAL SERVICES, INC.
CRD#: 20733 / SEC#: , 8-38398
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
