James R. Hall
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 Richard Ponsonby Hall was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2004 - January 2, 2015
CADMAN SECURITIES, LLC
June 20, 2002 - December 5, 2003
CHANNEL CAPITAL GROUP LLC
October 27, 2000 - September 25, 2002
GUGGENHEIM SECURITIES, LLC
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
CADMAN SECURITIES, LLC
CRD#: 128344 / SEC#: , 8-66126
Contact information
FINRA licenses (3 States and Territories)
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.
