James P. Comeau
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 Patrick Comeau was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 4 firms and has passed the Series 63 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
February 3, 2011 - January 12, 2012
FINANCIAL ADVISERS OF AMERICA, LLC
December 10, 2008 - December 31, 2009
FINANCIAL ADVISERS OF AMERICA, LLC
December 6, 2006 - April 16, 2007
GIRARD SECURITIES, INC.
September 30, 2003 - December 31, 2004
GIRARD SECURITIES, INC.
October 18, 2001 - December 3, 2001
J.P. TURNER & COMPANY, L.L.C.
May 18, 1999 - December 8, 2000
SENTRA SECURITIES 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
FINANCIAL ADVISERS OF AMERICA, LLC
CRD#: 142170 / SEC#: 801-69221, 8-67436
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHNSTON, KENNETH MERLE JR | MANAGING DIRECTOR, PRINCIPAL & CCO | 2437725 |
| SABINS, SCOTT ALAN | MEMBER | 834085 |
| BLAIR, ANTHONY FRANCIS | MEMBER | 1257306 |
| CUNNINGHAM, CRAIG, L | MEMBER | |
| KARG, CAMERON LEE | MEMBER | 264368 |
| LASARZIG, WILLIAM R JR. | MEMBER | 5708816 |
| SABINS, STEVEN WILLIAM | MEMBER | |
| WILSON, RODNEY E S | MEMBER | |
| ADAMS, ROSEMARIE CHIYOKO | MEMBER | 4638793 |
| AHERN, PRISCILLA A | MEMBER | 5720406 |
| AHERN, THOMAS S | MEMBER | 5720404 |
| DENNEY, NICOLETTE IRISA | FINOP | 1090644 |
| HUGHES, MICHAEL LEWIS | MEMBER | 1498127 |
| JOHNSTON, JODI MARIE | MEMBER | 2836464 |
| LUKEHART, DILLON JAMES | MEMBER | 6109420 |
| PELLAND, MICHAEL JOHN | MEMBER | 2845866 |
| PESAVENTO, ROBERT J | MEMBER | 5720397 |
| PESAVENTO, SUSAN J | MEMBER | 5720402 |
| PROUD, EILEEN MARIEL | MEMBER | 1019703 |
| WARNER, DONALD ALAN | MEMBER | 459120 |
Disclosures
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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