James L. Vanalen
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 Laurens Vanalen II, who also goes by James Laurens Vanalen, James Loren Vanalen, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1967. James had worked at 4 firms and has passed the Series 63, SIE, Series 16, Series 15, PC and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2008 - January 2, 2019
PHILADELPHIA INVESTORS, LTD.
December 12, 2005 - May 16, 2008
RUTHERFORD, BROWN & CATHERWOOD, LLC
June 5, 1984 - December 16, 2005
JANNEY MONTGOMERY SCOTT LLC
November 22, 1967 - March 25, 1971
JANNEY BATTLES AND E W CLARK INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 3/4/1986
Foreign Currency Options ExaminationPC
Date: 5/24/1977
AMEX Put and Call ExamSeries 00
Date: 6/23/1967
General Securities Principal ExaminationCurrent Firm
PHILADELPHIA INVESTORS, LTD.
CRD#: 23905 / SEC#: , 8-40805
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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