James H. Kaleo
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 Herbert Kaleo was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 8 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 1987 - September 6, 1989
PAN OCEANIC INVESTMENTS, INC.
June 28, 1983 - November 21, 1986
R. A. JOHNSON AND COMPANY, INC.
October 29, 1982 - March 24, 1983
AMERICAN PACIFIC SECURITIES CORPORATION
December 19, 1980 - September 30, 1982
FIRST HONOLULU SECURITIES, INC.
October 3, 1980 - March 17, 1981
GALLAGHER, BOYLAN & COOK, INC.
January 2, 1976 - February 15, 1979
DONALD SHELDON & CO., INC.
July 18, 1974 - March 6, 1976
TANI, TOKUNAGA & COMPANY, INC.
November 16, 1971 - December 31, 1971
SECURITY CAPITAL CO., 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
Series 1
Date: 7/13/1968
Registered Representative ExaminationCurrent Firm
PAN OCEANIC INVESTMENTS, INC.
CRD#: 14798 / SEC#: , 8-31209
Contact information
Documents
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.
