James P. Gannon
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 Patrick Gannon, who also goes by James P Gannon, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2005. James had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2024 - March 11, 2025
LORD ABBETT DISTRIBUTOR LLC
May 24, 2022 - November 17, 2023
FORESIDE FINANCIAL SERVICES, LLC
March 9, 2005 - May 10, 2022
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
LORD ABBETT DISTRIBUTOR LLC
CRD#: 530 / SEC#: , 8-216
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
