James K. Mcgann
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 Kevin Mcgann, who also goes by Jim Mccann, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 4 firms and has passed the SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2014 - August 18, 2016
THE LEADERS GROUP, INC.
September 17, 2012 - October 24, 2013
PRINCIPAL SECURITIES, INC.
February 13, 1982 - August 10, 2012
PRUCO SECURITIES, LLC.
May 16, 1969 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 5/13/1969
Registered Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
