James E. Curran
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 Edward Curran was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2003. James had worked at 8 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2016 - October 2, 2024
DAVID LERNER ASSOCIATES, INC.
January 26, 2015 - January 26, 2016
MYD MARKET, INC
June 10, 2013 - January 29, 2014
M. R. BEAL & COMPANY
July 29, 2010 - July 6, 2011
COMMERZ MARKETS LLC
May 1, 2006 - July 29, 2010
COMMERZBANK CAPITAL MARKETS CORP.
January 3, 2006 - April 18, 2006
REFCO CLEARING LLC
January 1, 2006 - May 1, 2006
REFCO SECURITIES, LLC
June 16, 2003 - January 2, 2004
WORLDCO, L.L.C.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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.
