James E. Cleary
Professional summary
James Edward Cleary JR was barred by the SEC 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 1996. Prior to being barred, James had worked at 9 firms, which includes HUNTER SCOTT FINANCIAL LLC., STERLING FINANCIAL INVESTMENT GROUP INC., EMERSON BENNETT & ASSOCIATES, PREFERRED SECURITIES GROUP INC., J.P. TURNER & COMPANY L.L.C., ARGENT SECURITIES INC., NICHOLS SAFINA LERNER & CO. INC., THE THORNWATER COMPANY L.P., THE BOSTON GROUP.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2004 - August 25, 2006
HUNTER SCOTT FINANCIAL LLC.
August 22, 2001 - October 14, 2004
STERLING FINANCIAL INVESTMENT GROUP, INC.
December 23, 1999 - August 22, 2001
EMERSON BENNETT & ASSOCIATES
November 2, 1998 - December 13, 1999
PREFERRED SECURITIES GROUP, INC.
August 12, 1997 - October 9, 1998
J.P. TURNER & COMPANY, L.L.C.
June 25, 1997 - August 12, 1997
ARGENT SECURITIES, INC.
April 18, 1997 - July 24, 1997
NICHOLS, SAFINA, LERNER & CO. INC.
November 21, 1996 - January 28, 1997
THE THORNWATER COMPANY, L.P.
October 24, 1996 - November 21, 1996
THE BOSTON GROUP
May 21, 1996 - June 18, 1996
THE THORNWATER COMPANY, L.P.
State Registrations and Notice Filings
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Exams
Current Firm
HUNTER SCOTT FINANCIAL LLC.
CRD#: 45559 / SEC#: , 8-51097
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
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