James R. Mancuso
Professional summary
James Richard Mancuso was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, James had worked at 7 firms, which includes SECWEST SECURITIES INC., KIMBERLY SECURITIES INC., LCP CAPITAL CORP., TASIN & COMPANY INC., STERLING FOSTER & COMPANY INC., FAIRCHILD FINANCIAL GROUP INC., VISION INVESTMENT GROUP INC..
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Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2000 - April 14, 2000
SECWEST SECURITIES, INC.
March 15, 2000 - October 28, 2002
KIMBERLY SECURITIES, INC.
June 27, 1997 - December 2, 1998
LCP CAPITAL CORP.
March 6, 1997 - November 4, 1997
TASIN & COMPANY, INC.
August 11, 1995 - January 23, 1997
STERLING FOSTER & COMPANY, INC.
May 9, 1995 - July 20, 1995
FAIRCHILD FINANCIAL GROUP, INC.
November 28, 1994 - December 13, 1994
VISION INVESTMENT GROUP, INC.
November 28, 1994 - May 11, 1995
STERLING FOSTER & COMPANY, INC.
State Registrations and Notice Filings
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Exams
Current Firm
SECWEST SECURITIES, INC.
CRD#: 25966 / SEC#: , 8-42178
Contact information
Documents
Disclosures
| Arbitration | 3 |
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