James P. Congleton
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 Paull Congleton, who also goes by James Paul Congleton, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 7 firms and has passed the Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 1996 - March 10, 1997
C. M. BLAIR, W. O. FOSTER & CO., INC.
October 2, 1992 - June 20, 1996
NEWPORT COAST SECURITIES, INC.
October 23, 1990 - September 4, 1991
C. M. BLAIR, W. O. FOSTER & CO., INC.
April 3, 1986 - October 9, 1990
NEWPORT COAST SECURITIES, INC.
May 24, 1982 - January 30, 1984
KEY SECURITIES INCORPORATED
January 31, 1978 - March 25, 1982
C. M. BLAIR, W. O. FOSTER & CO., INC.
June 18, 1974 - January 27, 1978
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
October 5, 1973 - July 10, 1974
ROBERT SCOTT & CO.
November 21, 1972 - September 25, 1975
FIRST CALIFORNIA COMPANY, INCORPORATED
February 8, 1971 - November 9, 1973
CALIFORNIA INVESTORS INCORPORATED
August 20, 1970 - March 16, 1971
FIRST CALIFORNIA COMPANY, 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
Exams
Series 1
Date: 11/1/1965
Registered Representative ExaminationSeries 40
Date: 12/18/1972
Registered Principal ExaminationCurrent Firm
C. M. BLAIR, W. O. FOSTER & CO., INC.
CRD#: 6501 / SEC#: , 8-17588
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLAIR, CHARLES MELVILLE | PRESIDENT | 22803 |
| BLAIR, JEANNE LOUISE | SECRETARY |
Disclosures
| Regulatory Event | 7 |
| Civil Event | 1 |
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.
