James F. Coll
Professional summary
James Frank Coll JR, who also goes by James Francis Coll Jr, is a registered financial professional currently at LOMBARD SECURITIES INCORPORATED located in Silver Spring, Maryland.
James is registered as a RR (Registered Representative) and started their career in finance in 1972. James has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Frank Coll JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 21, 2001 - Present
LOMBARD SECURITIES INCORPORATED
January 31, 1980 - January 17, 2002
UBS FINANCIAL SERVICES INC.
May 2, 1972 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/25/2005)
(3/6/2002)
(12/21/2001)
(1/22/2002)
(2/11/2005)
(1/8/2008)
(4/10/2025)
(1/6/2005)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 4/26/1972
Registered Representative ExaminationFINRA
Current Firm
LOMBARD SECURITIES INCORPORATED
CRD#: 27954 / SEC#: , 8-43340
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REYNOLDS, EDWIN MAJOR JR | DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL | 374634 |
| SOCHA, WILLIAM STEPHEN | CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER | 712323 |
| FOX, CHARLES CURTIS | CO-CEO, DIRECTOR, AND SHAREHOLDER | 1201770 |
| JONES, RUTH PORTER | DIRECTOR AND SHAREHOLDER | 842232 |
| PETER, EMIL III | SHAREHOLDER | |
| SLAGLE, BRIAN LEE | DIRECTOR AND SHAREHOLDER | 2895570 |
| DONLAN WELKER, TERRY LYNN | CHIEF COMPLIANCE OFFICER | 2825889 |
| OATES, DONALD EUGENE | DIRECTOR AND SHAREHOLDER | 1180250 |
| SONNIER, EDWARD DAVID II | DIRECTOR AND SHAREHOLDER | 2479370 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 4 |
Red Flags
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