James M. Palladino
Professional summary
James Michael Palladino SR 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 15 firms, which includes CONTINENTAL BROKER-DEALER CORP., GUNNALLEN FINANCIAL INC, CAPITAL GROWTH FINANCIAL LLC, ARJENT LTD., PREFERRED SECURITIES GROUP INC., FIRST MONTAUK SECURITIES CORP., ITRADEDIRECT.COM CORP, CYBERVEST SECURITIES INC., LH ROSS & COMPANY INC., TRADESPOT MARKETS INC., J.P. TURNER & COMPANY L.L.C., COLEMAN & COMPANY SECURITIES INC., FIRST LIBERTY INVESTMENT GROUP INC., ROYAL PALM INVESTMENTS LTD., CRESSIDA CAPITAL INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2003 - August 22, 2003
CONTINENTAL BROKER-DEALER CORP.
April 23, 2003 - May 20, 2003
GUNNALLEN FINANCIAL, INC
January 28, 2002 - July 29, 2002
CAPITAL GROWTH FINANCIAL, LLC
January 22, 2002 - January 24, 2002
ARJENT LTD.
August 22, 2001 - January 23, 2002
PREFERRED SECURITIES GROUP, INC.
June 11, 2001 - September 21, 2001
FIRST MONTAUK SECURITIES CORP.
April 11, 2001 - May 21, 2001
ITRADEDIRECT.COM CORP
August 4, 2000 - October 20, 2000
CYBERVEST SECURITIES INC.
April 10, 2000 - July 28, 2000
LH ROSS & COMPANY, INC.
September 30, 1999 - December 31, 1999
TRADESPOT MARKETS INC.
October 2, 1997 - May 29, 1998
J.P. TURNER & COMPANY, L.L.C.
May 30, 1997 - October 9, 1997
COLEMAN & COMPANY SECURITIES, INC.
March 13, 1997 - June 12, 1997
FIRST LIBERTY INVESTMENT GROUP, INC.
March 7, 1997 - March 24, 1997
COLEMAN & COMPANY SECURITIES, INC.
July 18, 1996 - December 16, 1996
ROYAL PALM INVESTMENTS, LTD.
June 12, 1996 - March 28, 1997
CRESSIDA CAPITAL, INC
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
CONTINENTAL BROKER-DEALER CORP.
CRD#: 14048 / SEC#: , 8-43159
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 15 |
Red Flags
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