James D. Maughan
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 Denis Maughan 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 63, SIE, Series 55, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2015 - July 1, 2019
CLSA AMERICAS, LLC
May 24, 2012 - May 20, 2015
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
September 9, 2009 - March 1, 2012
CANACCORD GENUITY SECURITIES LLC
April 5, 2004 - July 30, 2009
THOMAS WEISEL PARTNERS LLC
May 1, 2001 - March 9, 2004
J.P. MORGAN SECURITIES INC.
August 2, 2000 - May 1, 2001
JPMSI
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 55
Date: 5/16/2003
Limited Representative-Equity Trader ExamSeries 25
Date: 9/21/1999
NYSE Trading Assistant ExaminationCurrent Firm
CLSA AMERICAS, LLC
CRD#: 165533 / SEC#: , 8-69166
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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