James T. Monahan
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 Thomas Monahan III, who also goes by Jim Thomas Monahan III, 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 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2016 - June 27, 2022
HANCOCK WHITNEY INVESTMENT SERVICES INC.
July 6, 2016 - June 27, 2022
HANCOCK WHITNEY INVESTMENT SERVICES INC.
April 16, 2014 - December 2, 2014
CETERA INVESTMENT ADVISERS LLC
April 30, 2013 - January 29, 2014
CETERA INVESTMENT SERVICES LLC
April 26, 2013 - December 2, 2014
CETERA INVESTMENT SERVICES LLC
February 22, 2007 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
February 13, 2007 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
September 25, 2003 - February 21, 2007
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
February 6, 2003 - September 22, 2003
AMSOUTH INVESTMENT SERVICES, INC.
October 4, 2000 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
June 7, 1994 - July 20, 2000
FIRST UNION BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
HANCOCK WHITNEY INVESTMENT SERVICES INC.
CRD#: 40637 / SEC#: 801-68420, 8-49106
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
HANCOCK WHITNEY INVESTMENT SERVICES INC.
CRD#: 40637 / SEC#: 801-68420, 8-49106
Contact information
SEC notice filing (3 States and Territories)
FINRA licenses (5 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HANCOCK WHITNEY CORPORATION | SHAREHOLDER | |
| BARTLETT, DONNA | BROKER DEALER - CHIEF COMPLIANCE OFFICER | 1813672 |
| LOUPE, PATRICIA KIVES | ASSISTANT SECRETARY | 6796549 |
| MILTON, MILES STUART | PRESIDENT/CEO AND DIRECTOR | 1518016 |
| NICHOALDS, STUART TODD | AML/BSA OFFICER | 6607342 |
| RIGNEY, JOHN MARIO JR | RIA-CCO/VP/SECRETARY & DIRECTOR | 2032572 |
| SCHEXNAYDER, ANITA GREGOIRE | VICE PRESIDENT/CHIEF FINANCIAL OFFICER & DIRECTOR | 6453588 |
Regulatory assets under management
| Total Number of Accounts | 1,031 |
| AUM (Assets Under Management) | $ 210,606,113 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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.
