James F. Buckley
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 Francis Buckley, who also goes by James F Buckley, Jim Buckley, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1967. James had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 1 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
April 25, 2006 - December 31, 2016
PERSONAL FINANCIAL MANAGEMENT GROUP
April 27, 2005 - November 22, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 31, 2005 - November 22, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 10, 1996 - April 20, 2005
LOCKWOOD FINANCIAL SERVICES, INC.
July 31, 1993 - May 6, 1996
CITIGROUP GLOBAL MARKETS INC.
June 11, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
March 5, 1990 - February 27, 1991
MERCER ALLIED CORPORATION
May 14, 1988 - January 8, 1990
LEHMAN BROTHERS INC.
November 13, 1967 - May 14, 1988
E. F. HUTTON & COMPANY INC
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: 11/10/1967
Registered Representative ExaminationCurrent Firm
PERSONAL FINANCIAL MANAGEMENT GROUP
CRD#: 131457 / SEC#:
Contact information
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.
