James M. Cassidy
Professional summary
James Maurice Cassidy was barred by the FINRA 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 5 firms, which includes CONTINENTAL BROKER-DEALER CORP., KENSINGTON WELLS INCORPORATED, FIRST ASSET MANAGEMENT INC., INVESTORS ASSOCIATES INC., VISION INVESTMENT GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 1996 - June 12, 1997
CONTINENTAL BROKER-DEALER CORP.
August 30, 1996 - January 29, 1997
KENSINGTON WELLS INCORPORATED
October 30, 1995 - December 5, 1995
FIRST ASSET MANAGEMENT, INC.
January 30, 1995 - October 17, 1995
INVESTORS ASSOCIATES, INC.
November 1, 1994 - March 9, 1995
VISION INVESTMENT GROUP, INC.
State Registrations and Notice Filings
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Exams
Current Firm
CONTINENTAL BROKER-DEALER CORP.
CRD#: 14048 / SEC#: , 8-43159
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 15 |
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