James Mcintyre
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 Mcintyre, who also goes by James William Mcintyre IV, James William Mcintyre, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2006. James had worked at 4 firms and has passed the SIE 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
September 6, 2016 - October 27, 2017
NEIGHBORLY SECURITIES
September 16, 2008 - August 15, 2016
MORGAN STANLEY & CO. LLC
February 1, 2006 - June 16, 2008
UBS SECURITIES LLC
January 25, 2006 - February 3, 2006
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
NEIGHBORLY SECURITIES
CRD#: 17686 / SEC#: , 8-35597
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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