James M. Douglas
Professional summary
James Michael Douglas, who also goes by James M Douglas, Jim Douglas, is a registered financial professional currently at CRAIG-HALLUM CAPITAL GROUP LLC located in Minneapolis, Minnesota.
James is registered as a RR (Registered Representative) and started their career in finance in 2005. James has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Michael Douglas's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 27, 2025 - Present
CRAIG-HALLUM CAPITAL GROUP LLC
Office #1: 323 N Washington Ave Suite 300, Minneapolis, MN 55401June 14, 2005 - March 14, 2022
PIPER SANDLER & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/23/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
CRAIG-HALLUM CAPITAL GROUP LLC
CRD#: 121395 / SEC#: , 8-65407
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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