James A. Nolan

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CRD#: 348775

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 Allen Nolan was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1970. James had worked at 8 firms and has passed the Series 63, Series 22, Series 5, Series 1 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 28, 2010 - December 31, 2012

UHLMANN PRICE SECURITIES, LLC

CRD#: 42854

SKOKIE, IL

Past

February 19, 1997 - October 14, 1998

ROSENTHAL COLLINS SECURITIES, L.L.C

CRD#: 41915

CHICAGO, IL

Past

February 26, 1996 - December 31, 1996

GLOBAL INVESTMENT SERVICES, INC.

CRD#: 35752

Past

March 11, 1991 - December 31, 1995

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

February 12, 1990 - December 31, 1990

DICKINSON & CO.

CRD#: 689

DES MOINES, IA

Past

June 23, 1987 - December 31, 1989

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

August 13, 1981 - June 25, 1987

MF GLOBAL INC.

CRD#: 6731

Past

January 5, 1981 - October 13, 1982

WALL STREET WEST, INC.

CRD#: 7529

Past

April 16, 1970 - October 7, 1983

ALL AMERICAN MANAGEMENT CORPORATION

CRD#: 21

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 10/21/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22

Date: 9/27/2010

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 5

Date: 2/23/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 1

Date: 4/1/1970

Registered Representative Examination

Principal/Supervisory Exam

Series 00

Date: 5/31/1972

General Securities Principal Examination

Current Firm

UHLMANN PRICE SECURITIES, LLC

UHLMANN INVESTMENTS, LLC | UHLMANN PRICE SECURITIES, LLC

CRD#: 42854 / SEC#: , 8-50041

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

5202 Old Orchard Road Suite 250, Skokie, IL 60077

Mailing Address

5202 Old Orchard Road Suite 250, Skokie, IL 60077

Phone number

(847) 305-2037

Established

Illinois since 02/19/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
UPS HOLDINGS, LLC	OWNER
BAER, JAMES DANA	PRESIDENT/FINOP	9936
JBAK, LLC	OWNER
KELLY, CINDY MARIE	CHIEF OPERATING OFFICER	3270586
KELLY, CINDY MARIE	CCO	3270586
KONN, ALAN ROBERT	MANAGING MEMBER	1406973

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.

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Firm Stability Insights

James A. Nolan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ROSENTHAL COLLINS SECURITIES, L.L.C

GLOBAL INVESTMENT SERVICES, INC.

LASALLE ST SECURITIES, L.L.C.

DICKINSON & CO.

LASALLE ST SECURITIES, L.L.C.

MF GLOBAL INC.

WALL STREET WEST, INC.

ALL AMERICAN MANAGEMENT CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 10/21/2010

Series 22

Date: 9/27/2010

Series 5

Date: 2/23/1982

Series 1

Date: 4/1/1970

Series 00

Date: 5/31/1972

Current Firm

UHLMANN PRICE SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

UHLMANN PRICE SECURITIES, LLC

TRUST BUT VERIFY

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