James T. Fallon
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 Fallon was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 4 firms and has passed the Series 63, Series 7TO, SIE 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
October 19, 2021 - September 6, 2022
BUTLER CAPITAL PARTNERS
September 18, 2009 - September 21, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 12, 1999 - September 2, 2008
MORGAN STANLEY & CO. LLC
February 29, 1996 - July 3, 1997
NEUBERGER BERMAN BD LLC
February 28, 1996 - July 3, 1997
NEUBERGER BERMAN BD LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 10/19/2021
General Securities Representative ExaminationCurrent Firm
BUTLER CAPITAL PARTNERS
CRD#: 114242 / SEC#: , 8-53413
Contact information
FINRA licenses (22 States and Territories)
Red Flags
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