James E. Hynes
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 Edward Hynes, who also goes by James E Hynes, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 7 firms and has passed the Series 63, Series 62 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
June 6, 2006 - March 12, 2008
EMPIRE FINANCIAL GROUP, INC.
January 4, 2006 - June 2, 2006
THE CONCORD EQUITY GROUP, LLC
November 11, 2002 - December 31, 2005
GUNNALLEN FINANCIAL, INC
November 29, 1995 - April 8, 1996
DUKE & CO., INC.
November 16, 1995 - December 1, 1995
BILTMORE SECURITIES, INC.
August 8, 1995 - December 6, 1995
WINDSOR REYNOLDS SECURITIES, INC.
July 28, 1994 - July 26, 1995
STRATTON OAKMONT 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 62
Date: 11/8/2002
Corporate Securities Limited Representative ExaminationCurrent Firm
EMPIRE FINANCIAL GROUP, INC.
CRD#: 28759 / SEC#: , 8-43949
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JESUP AND LAMONT, INC | HOLDING COMPANY | |
| UCHENIK, VLAD | FINOP, COO, CFO | 4071805 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 7 |
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.
