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JF

James E. Fahey

INTERCOASTAL CAPITAL MARKETS
Boca Raton, FL 33432
Some features on this profile are disabled
CRD#: 3061469
JF

Professional summary

James E Fahey is a registered financial professional currently at INTERCOASTAL CAPITAL MARKETS, INC. located in Boca Raton, Florida.

James is registered as a RR (Registered Representative) and started their career in finance in 1998. James has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James E Fahey's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 26, 2020 - Present

INTERCOASTAL CAPITAL MARKETS, INC.

Office #1: 200 East Palmetto Park Road Suite 108, Boca Raton, FL 33432
BD
CRD#: 83
Boca Raton, FL
Past

March 7, 2003 - September 11, 2020

EK RILEY INVESTMENTS, LLC

BD
CRD#: 121003
Seattle, WA
Past

January 8, 2003 - June 11, 2003

JENCKS & COMPANY LLC

BD
CRD#: 44494
WOODWAY, WA
Past

June 10, 1998 - August 28, 1999

SYMETRA SECURITIES, INC.

BD
CRD#: 739
BELLEVUE, WA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(8/26/2020)
RR
Washington
(8/26/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 1/21/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/7/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/9/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/25/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

INTERCOASTAL CAPITAL MARKETS, INC.
INTERCOASTAL CAPITAL MARKETS, INC.
BELLAMAH, NEUHAUSER & BARRETT, INC. | INTERCOASTAL CAPITAL MARKETS, INC. (ICM) | INTERCOASTAL CAPITAL MARKETS, INC.

CRD#: 83 / SEC#: , 8-9698

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
200 East Palmetto Park Road Suite 108, Boca Raton, FL 33432
Mailing Address
200 East Palmetto Park Road Suite 108, Boca Raton, FL 33432
Phone number
(561) 939-8282
Established
District of Columbia since 07/26/1960
Firm type
Corporation
Fiscal year end
May
Firm Size
Small
# of Employees

FINRA licenses (38 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TRIFECTA GROUP HOLDINGS LLCOWNER
BIRD, CARL DAVID JR.CHIEF EXECUTIVE OFFICER4482416
ROGERS, JOHN WILLIAM JRPRESIDENT, CHIEF COMPLIANCE OFFICER2424004
SINGER, STEVEN FREDERICCHIEF FINANCIAL OFFICER, COO, FINOP2360737

Disclosures

Regulatory Event9
Arbitration2
Bond1

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.

Company Information

INTERCOASTAL CAPITAL MARKETS, INC.

INTERCOASTAL CAPITAL MARKETS, INC.

CRD#: 83Boca Raton, FL 33432

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