Paul C. James
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.
Paul Cronan James was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1972. Paul had worked at 11 firms and has passed the Series 63, SIE, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2007 - November 4, 2016
QUESTAR CAPITAL CORPORATION
March 22, 2001 - July 13, 2007
MM ASCEND LIFE INVESTOR SERVICES, LLC
April 12, 2000 - March 6, 2001
DONAHUE SECURITIES, INC.
July 1, 1996 - March 31, 2000
NATIONWIDE INVESTMENT SERVICES CORPORATION
December 20, 1993 - July 1, 1996
NATIONWIDE SECURITIES, LLC
May 19, 1989 - October 19, 1992
PRUDENTIAL EQUITY GROUP, LLC
April 11, 1988 - May 26, 1989
LEHMAN BROTHERS INC.
November 7, 1985 - April 11, 1988
E. F. HUTTON & COMPANY INC
September 26, 1978 - December 6, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 29, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
July 25, 1972 - October 17, 1975
BACHE & CO INCORPORATED
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
PC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 7/24/1972
Registered Representative ExaminationSeries 8
Date: 11/20/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| 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.
