James A. Colon
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 Colon, who also goes by Jim Allen Colon, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 6 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 53, Series 4 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
January 29, 2014 - May 4, 2021
NUVEEN SECURITIES, LLC
March 14, 2012 - May 4, 2021
NUVEEN ASSET MANAGEMENT, LLC
February 25, 2008 - November 11, 2011
NUVEEN HYDEPARK GROUP, LLC
February 13, 2008 - October 12, 2012
NUVEEN SECURITIES, LLC
April 11, 2002 - April 12, 2005
TRUSTEE EMPOWERMENT & PROTECTION, INC.
August 31, 2001 - March 28, 2006
MUTUAL SERVICE CORPORATION
July 13, 2000 - August 31, 2001
FSC SECURITIES CORPORATION
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
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
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.
