James A. Gorman
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 Augustine Gorman III was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 4 firms and has passed the Series 66, 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
May 17, 2012 - March 17, 2014
M&T SECURITIES, INC.
May 4, 2012 - March 17, 2014
M&T SECURITIES, INC.
January 27, 2009 - July 1, 2010
BB&T INVESTMENT SERVICES, INC.
January 26, 2009 - July 1, 2010
BB&T INVESTMENT SERVICES, INC.
July 9, 2008 - December 31, 2008
BB&T INVESTMENT SERVICES, INC.
July 9, 2008 - December 31, 2008
BB&T INVESTMENT SERVICES, INC.
July 8, 2004 - February 8, 2008
M&T SECURITIES, INC.
May 1, 2003 - February 8, 2008
M&T SECURITIES, INC.
September 16, 2002 - May 1, 2003
ALLFIRST BROKERAGE CORPORATION
August 2, 2001 - July 8, 2002
MORGAN STANLEY DW INC.
August 30, 2000 - May 29, 2002
MORGAN STANLEY DW INC.
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
M&T SECURITIES, INC.
CRD#: 17358 / SEC#: , 8-35185
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M&T BANK CORPORATION | SHAREHOLDER | |
| BRETT, MICHELLE THERESE | DIRECTOR | 7965730 |
| COLLINS, ATWOOD III | DIRECTOR | 5634496 |
| DETTMANN, BRIAN JOHN | DIRECTOR | 4659106 |
| GIORGIO, HUGH EVANS | DIRECTOR | 7535939 |
| HOGAN, PAUL JOSEPH | DIRECTOR | 2849151 |
| NEWCOMB, MICHAEL FRANCIS II | DIRECTOR | 2097837 |
| PETRUS, TANYA MARIE | FINOP | 4848556 |
| REILLY, MICHAEL MACKAY | DIRECTOR | 4575618 |
| REMORENKO, ALEXSANDRA | CHIEF COMPLIANCE OFFICER | 5699601 |
| REMORENKO, ALEXSANDRA | PRESIDENT | 5699601 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 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.
