James C. Callahan
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 Christopher Jason Callahan, who also goes by James Callahan, Jim Callahan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 4 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2021 - July 26, 2021
PTS BROKERAGE, LLC
January 29, 2001 - March 15, 2019
NATIONWIDE SECURITIES, LLC
July 26, 1999 - September 26, 2000
SUMMIT FINANCIAL SERVICES GROUP, INC.
May 20, 1999 - July 15, 1999
NYLIFE SECURITIES 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
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
PTS BROKERAGE, LLC
CRD#: 119307 / SEC#: , 8-65173
Contact information
FINRA licenses (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 460 |
| AUM (Assets Under Management) | $ 106,900,000 |
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.
