James G. Sparacino
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 Gerard Sparacino was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 11 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
June 18, 2013 - February 14, 2023
TRIDENT PARTNERS LTD.
February 4, 2011 - June 21, 2013
MERRIMAC CORPORATE SECURITIES, INC.
July 31, 2008 - February 7, 2011
J.P. TURNER & COMPANY, L.L.C.
January 24, 2006 - August 17, 2006
THE CONCORD EQUITY GROUP, LLC
December 2, 2002 - December 31, 2005
GUNNALLEN FINANCIAL, INC
April 30, 2001 - December 2, 2002
HARRISON SECURITIES, INC.
June 7, 2000 - May 18, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
May 19, 1998 - June 1, 2000
TASIN & COMPANY, INC.
November 17, 1997 - May 20, 1998
GLOBAL CAPITAL MARKETS, LLC
December 17, 1996 - January 28, 1998
H G I
January 23, 1996 - January 1, 1997
FIRST UNITED EQUITIES CORPORATION
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
TRIDENT PARTNERS LTD.
CRD#: 41258 / SEC#: , 8-49342
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
Red Flags
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