James A. Salamone
Professional summary
James A Salamone was barred by the FINRA 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 2004. Prior to being barred, James had worked at 4 firms, which includes MERCER CAPITAL LTD., J.P. TURNER & COMPANY L.L.C., GUNNALLEN FINANCIAL INC, JOSEPH STEVENS & CO. INC..
Question & Answer
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
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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
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