James R. Mcnaughton
Professional summary
James Robert Mcnaughton is a registered financial professional currently at DSP SECURITIES, LLC located in Conshohocken, Pennsylvania.
James is registered as a RR (Registered Representative) and started their career in finance in 2002. James has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Robert Mcnaughton's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 16, 2022 - Present
DSP SECURITIES, LLC
Office #1: 161 Washington Street Suite 580, Conshohocken, PA 19428May 29, 2002 - June 17, 2022
JANNEY MONTGOMERY SCOTT LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/16/2022)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
DSP SECURITIES, LLC
CRD#: 298048 / SEC#: , 8-70170
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELANCEY STREET HOLDINGS LLC | SHAREHOLDER | |
| ATTANASIO, ELIZABETH MARIE | FINOP, PFO | 5325007 |
| DOLAN, PATRICK EDWARD | CHIEF COMPLIANCE OFFICER / MANAGING DIRECTOR | |
| FILIP, WILLIAM JAY | MANAGING DIRECTOR | |
| SCHMUCKER, B ANDREW | MANAGING PARTNER |
Red Flags
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