James L. Fonseca
Professional summary
James Luis Fonseca Mr. was barred by the FINRA 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 1999. Prior to being barred, James had worked at 18 firms, which includes NEWPORT COAST SECURITIES INC., ROTHSCHILD LIEBERMAN LLC, WINDSOR STREET CAPITAL LP, LEGEND SECURITIES INC., CAPE SECURITIES INC., NATIONAL SECURITIES CORPORATION, CHASE INVESTMENT SERVICES CORP., EMPIRE ASSET MANAGEMENT COMPANY, CARLTON CAPITAL INC., MERCER CAPITAL LTD., INVESTORS CAPITAL CORP., BROAD STREET SECURITIES INC., BROOKSHIRE SECURITIES CORPORATION, QUEST CAPITAL STRATEGIES INC., LLOYD SCOTT & VALENTI LTD., CROWN FINANCIAL GROUP INC., THE AGEAN GROUP INC, LCP CAPITAL CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2015 - August 26, 2016
NEWPORT COAST SECURITIES, INC.
December 10, 2014 - November 30, 2015
ROTHSCHILD LIEBERMAN LLC
January 22, 2014 - November 24, 2014
WINDSOR STREET CAPITAL, LP
November 4, 2013 - December 23, 2013
LEGEND SECURITIES, INC.
September 27, 2011 - August 29, 2013
CAPE SECURITIES INC.
March 24, 2010 - March 14, 2011
NATIONAL SECURITIES CORPORATION
December 19, 2008 - October 27, 2009
CHASE INVESTMENT SERVICES CORP.
September 24, 2008 - October 13, 2008
EMPIRE ASSET MANAGEMENT COMPANY
June 5, 2008 - September 26, 2008
CARLTON CAPITAL INC.
January 28, 2008 - May 23, 2008
MERCER CAPITAL LTD.
December 5, 2006 - October 16, 2007
INVESTORS CAPITAL CORP.
August 7, 2006 - May 29, 2007
BROAD STREET SECURITIES, INC.
February 7, 2006 - August 4, 2006
BROOKSHIRE SECURITIES CORPORATION
August 22, 2005 - November 18, 2005
QUEST CAPITAL STRATEGIES, INC.
June 8, 2004 - February 10, 2005
BROAD STREET SECURITIES, INC.
March 5, 2002 - May 28, 2004
LLOYD, SCOTT & VALENTI, LTD.
October 12, 2001 - February 1, 2002
CROWN FINANCIAL GROUP, INC.
June 20, 2000 - January 10, 2001
LLOYD, SCOTT & VALENTI, LTD.
July 1, 1999 - June 19, 2000
THE AGEAN GROUP, INC
April 15, 1999 - May 25, 1999
LCP CAPITAL CORP.
State Registrations and Notice Filings
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Exams
Current Firm
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
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