James J. Delmasto
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 Joseph Delmasto, who also goes by James J Delmasto, James Delmasto, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2008. James had worked at 5 firms and has passed the Series 66, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2012 - September 5, 2013
WALNUT STREET SECURITIES, INC.
May 9, 2012 - September 5, 2013
TOWER SQUARE SECURITIES, INC.
May 9, 2012 - October 14, 2013
NEW ENGLAND SECURITIES
May 9, 2012 - October 14, 2013
MSI FINANCIAL SERVICES, INC.
May 1, 2012 - September 5, 2013
WALNUT STREET SECURITIES, INC.
May 1, 2012 - September 5, 2013
TOWER SQUARE SECURITIES, INC.
May 1, 2012 - October 14, 2013
NEW ENGLAND SECURITIES
May 1, 2012 - October 14, 2013
MSI FINANCIAL SERVICES, INC.
November 20, 2008 - May 1, 2012
NEW ENGLAND SECURITIES
November 6, 2008 - May 1, 2012
NEW ENGLAND SECURITIES
October 20, 2008 - October 28, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
September 19, 2008 - October 28, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
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
WALNUT STREET SECURITIES, INC.
CRD#: 15840 / SEC#: 801-62161, 8-32772
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE, INC. | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
