James J. Collins
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 Joseph Collins, who also goes by James J Collins, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 7 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2012 - March 14, 2013
CITRINGROUP
May 16, 2007 - February 26, 2008
CHARLES SCHWAB & CO., INC.
February 17, 2004 - August 12, 2004
STRAIGHTLINE
December 10, 2003 - November 30, 2005
QUESTAR CAPITAL CORPORATION
September 26, 2003 - December 31, 2003
LASALLE ST SECURITIES, L.L.C.
December 6, 2002 - September 23, 2003
MORGAN STANLEY DW INC.
June 20, 2001 - September 23, 2003
MORGAN STANLEY DW INC.
January 20, 2000 - June 8, 2001
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CITRINGROUP
CRD#: 131314 / SEC#: 801-65059
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.
