James F. Vigue
Professional summary
James Francis Vigue was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1972. Prior to being barred, James had worked at 6 firms, which includes FIRM INVESTMENT CORP, FIRST AFFILIATED SECURITIES INC., DONALD O. SMITH COMPANY, BANGOR SECURITIES INC., INDEPENDENT FINANCIAL PLANNERS CORPORATION, SMITH & CO.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 1980 - May 27, 1999
FIRM INVESTMENT CORP
August 1, 1977 - October 22, 1983
FIRST AFFILIATED SECURITIES, INC.
July 21, 1975 - June 8, 1978
DONALD O. SMITH COMPANY
December 12, 1973 - February 10, 1975
BANGOR SECURITIES, INC.
October 29, 1973 - January 24, 1974
INDEPENDENT FINANCIAL PLANNERS CORPORATION
October 9, 1972 - March 21, 1975
SMITH & CO
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 10/3/1972
Registered Representative ExaminationF04
Date: 6/14/1975
Financial Principal ExaminationSeries 00
Date: 2/1/1975
General Securities Principal ExaminationCurrent Firm
FIRM INVESTMENT CORP
CRD#: 8259 / SEC#: , 8-24708
Contact information
Documents
Red Flags
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