James R. Maher
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 Riley Maher was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 3 firms and has passed the Series 63, Series 1, Series 27, Series 4, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2005 - December 21, 2010
BANKERS & INVESTORS CO.
June 24, 1975 - August 12, 2003
BANKERS & INVESTORS CO.
December 13, 1971 - July 23, 1975
EDWARD JONES
March 24, 1969 - January 10, 1972
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 1
Date: 3/11/1969
Registered Representative ExaminationF04
Date: 6/6/1975
Financial Principal ExaminationSeries 00
Date: 6/6/1975
General Securities Principal ExaminationCurrent Firm
BANKERS & INVESTORS CO.
CRD#: 6874 / SEC#: , 8-21215
Contact information
Disclosures
| Regulatory Event | 5 |
Red Flags
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