James F. Connors
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 Francis Connors, who also goes by Jamie Connors, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 13 firms and has passed the Series 63, 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 7, 2014 - April 6, 2015
FIRST STANDARD FINANCIAL COMPANY LLC
October 10, 2012 - January 31, 2014
WINDSOR STREET CAPITAL, LP
October 21, 2009 - November 1, 2010
BROOKSTONE SECURITIES, INC.
August 1, 2006 - October 29, 2009
J.P. TURNER & COMPANY, L.L.C.
September 24, 2004 - August 2, 2006
GUNNALLEN FINANCIAL, INC
October 19, 2001 - October 18, 2004
JOSEPH STEVENS & CO., INC.
August 28, 2001 - October 30, 2001
HEARTLAND SECURITIES CORP.
April 12, 2001 - September 26, 2001
METROPOLITAN LIFE INSURANCE COMPANY
April 12, 2001 - September 26, 2001
MSI FINANCIAL SERVICES, INC.
March 20, 2000 - January 2, 2001
GKN SECURITIES CORP.
February 6, 1998 - March 27, 2000
J.W. BARCLAY & CO., INC.
July 12, 1996 - January 31, 1997
TOLUCA PACIFIC SECURITIES CORP.
October 20, 1995 - June 27, 1996
MEYERS POLLOCK ROBBINS, 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
Current Firm
FIRST STANDARD FINANCIAL COMPANY LLC
CRD#: 168340 / SEC#: , 8-69300
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
