James M. Lamont
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 Marten Lamont, who also goes by James Lamont, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2015 - October 31, 2019
WHITEHALL-PARKER SECURITIES, INC.
April 2, 2015 - October 31, 2019
WHITEHALL-PARKER SECURITIES, INC.
December 15, 2006 - March 27, 2015
INDEPENDENT FINANCIAL GROUP, LLC
December 15, 2006 - March 27, 2015
INDEPENDENT FINANCIAL GROUP, LLC
February 14, 2002 - December 18, 2006
SPC
February 9, 2002 - December 18, 2006
PARKLAND SECURITIES, LLC
August 8, 1997 - February 9, 2002
WALNUT STREET SECURITIES, INC.
February 25, 1997 - September 5, 1997
WOODBURY FINANCIAL SERVICES, 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
WHITEHALL-PARKER SECURITIES, INC.
CRD#: 10608 / SEC#: , 8-27688
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25 |
| AUM (Assets Under Management) | $ 20,000,000 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
