James W. Fonteno
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 W Fonteno JR, who also goes by James W Fonteno, James Walton Fonteno Jr, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 4 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 1, 2017 - June 8, 2022
ESTRADA HINOJOSA & COMPANY, INC.
March 29, 2011 - March 7, 2017
ESTRADA HINOJOSA & COMPANY, INC.
June 2, 2010 - March 24, 2011
GMS GROUP
July 3, 2006 - June 25, 2008
UBS SECURITIES LLC
July 21, 2005 - May 9, 2006
ESTRADA HINOJOSA & COMPANY, INC.
December 23, 1997 - February 5, 2003
UBS FINANCIAL SERVICES INC.
March 31, 1997 - February 5, 2003
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
ESTRADA HINOJOSA & COMPANY, INC.
CRD#: 19299 / SEC#: 801-61971, 8-37440
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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