James L. Connell
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 Lee Connell, who also goes by Jim Connell, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1973. James had worked at 9 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 1992 - February 25, 2019
MID-ATLANTIC SECURITIES, INC.
January 14, 1992 - March 24, 1992
ROBERT THOMAS SECURITIES, INC
September 7, 1988 - January 8, 1992
FIRST CAROLINA INVESTMENT CORP.
March 24, 1988 - September 22, 1988
TRIPARK SECURITIES, INC.
February 24, 1988 - March 29, 1988
THOMSON MCKINNON SECURITIES INC.
April 26, 1982 - February 24, 1988
CAROLINA SECURITIES CORPORATION
February 24, 1978 - July 29, 1982
MORGAN STANLEY DW INC.
January 26, 1977 - February 24, 1978
REYNOLDS SECURITIES, INC.
August 17, 1973 - February 7, 1977
FIRST UNION CAPITAL MARKETS CORP.
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: 8/13/1973
Registered Representative ExaminationCurrent Firm
MID-ATLANTIC SECURITIES, INC.
CRD#: 18836 / SEC#: 801-112068, 8-36997
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEVEL FOUR GROUP, LLC | OWNER | |
| POWELL, ELIZABETH TAYLOE | CHIEF COMPLIANCE OFFICER | 1240225 |
Regulatory assets under management
| Total Number of Accounts | 949 |
| AUM (Assets Under Management) | $ 380,201,903 |
Disclosures
| Regulatory Event | 4 |
| Bond | 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.
