James J. Mcneil
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 Joseph Mcneil III, who also goes by James Joseph Mcneil, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55 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
August 12, 2019 - April 20, 2020
BLUEFIN CAPITAL MANAGEMENT, LLC
August 31, 2001 - February 15, 2002
HAMILTON PARTNERS LIMITED
December 10, 1997 - February 29, 2000
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 8/12/2019
Securities Trader ExamSeries 55
Date: 10/12/1998
Limited Representative-Equity Trader ExamCurrent Firm
BLUEFIN CAPITAL MANAGEMENT, LLC
CRD#: 113892 / SEC#: , 8-53382
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
Red Flags
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