James O'callaghan
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 O'callaghan, who also goes by James Gerard Ocallaghan, Jimmy Ocallaghan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 2 firms and has passed the Series 63, Series 7, Series 1, Series 24, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 1997 - May 28, 2009
J & D SECURITIES LLC
August 18, 1994 - March 13, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 2/2/1970
Registered Representative ExaminationSeries 40
Date: 4/26/1971
Registered Principal ExaminationCurrent Firm
J & D SECURITIES LLC
CRD#: 42716 / SEC#: , 8-49967
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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