James A. Philbrook
Professional summary
James Arthur Philbrook was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1973. Prior to being barred, James had worked at 7 firms, which includes THE O.N. EQUITY SALES COMPANY, INVESTORS CAPITAL CORP., OSAIC FS INC., POLARIS FINANCIAL SERVICES INC., NEW ENGLAND SECURITIES, HIMCO DISTRIBUTION SERVICES COMPANY, HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2002 - December 31, 2006
THE O.N. EQUITY SALES COMPANY
March 13, 2001 - June 20, 2002
INVESTORS CAPITAL CORP.
July 8, 2000 - March 12, 2001
OSAIC FS, INC.
August 13, 1991 - July 8, 2000
POLARIS FINANCIAL SERVICES, INC.
May 23, 1988 - August 14, 1991
NEW ENGLAND SECURITIES
June 15, 1974 - June 15, 1988
HIMCO DISTRIBUTION SERVICES COMPANY
July 13, 1973 - August 20, 1974
HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY
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: 7/10/1973
Registered Representative ExaminationCurrent Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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