James A. Salamone
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 A Salamone was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2004. James had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2008 - January 27, 2009
MERCER CAPITAL LTD.
August 1, 2006 - October 17, 2008
J.P. TURNER & COMPANY, L.L.C.
June 2, 2004 - August 1, 2006
GUNNALLEN FINANCIAL, INC
January 14, 2004 - June 24, 2004
JOSEPH STEVENS & CO., INC.
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
MERCER CAPITAL LTD.
CRD#: 104012 / SEC#: , 8-52473
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ESTATE OF LEONARD C. DEMERS | PARTNER | |
| SALINO, ANTHONY JOHN | CEO, CHIEF OPERATING OFFICER, PRESIDENT | 2162704 |
| BURAGLIO, KATHLEEN | ADMINISTRATOR OF ESTATE | |
| COHEN, ROY | ASSISTANT COMPLIANCE OFFICER/ MSRB | 1633948 |
| DORMAN, ANDREW BENNETT | FINOP | 1135912 |
| SCHULTZ, LYNN GORDON | CHIEF COMPLIANCE OFFICER / SROP / CROP | 1052349 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 6 |
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.
