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JL

James C. Luby

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CRD#: 4542482
JL

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 Clay Luby, who also goes by James Luby, James Clay Luby, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2002. James had worked at 2 firms and has passed the Series 27 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Luby | James Clay Luby

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 22, 2009 - August 3, 2016

PYRAMIS DISTRIBUTORS CORPORATION LLC

BD
CRD#: 146430
SMITHFIELD, RI
Past

July 26, 2002 - February 7, 2005

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
CONSHOHOCKEN, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Principal/Supervisory Exam
RR
Series 27
Date: 6/19/2009
Financial and Operations Principal Examination

Current Firm

PD
PYRAMIS DISTRIBUTORS CORPORATION LLC
PYRAMIS DISTRIBUTORS CORPORATION LLC

CRD#: 146430 / SEC#: , 8-67821

BD
Terminated by SEC on 09/30/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/15/2007
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FIAM HOLDINGS CORP.MEMBER
CONDRON, CASEY MOOREDIRECTOR3092905
COUTO, SCOTTPRESIDENT / DIRECTOR2178859
LINDE, JASON JOHNCCO2866398
LUBY, JAMES CLAYFINOP/CFO4542482

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.

Company Information

PYRAMIS DISTRIBUTORS CORPORATION LLC

CRD#: 146430

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