James F. Mckenna
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 Francis Mckenna III, who also goes by Jim Mckenna, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2003. James had worked at 5 firms and has passed the Series 63 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
January 2, 2013 - May 6, 2014
HEDGEMARK SECURITIES LLC
December 3, 2010 - October 24, 2011
BNY MELLON CAPITAL MARKETS, LLC
April 26, 2005 - February 11, 2009
SG AMERICAS SECURITIES, LLC
December 13, 2004 - April 7, 2005
BANC OF AMERICA SECURITIES LLC
August 7, 2003 - April 21, 2004
BNP PARIBAS SECURITIES CORP.
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
HEDGEMARK SECURITIES LLC
CRD#: 164503 / SEC#: , 8-69106
Contact information
FINRA licenses (49 States and Territories)
Documents
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.
