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JH

James Robert Hurrion

CRD# 5279863·Registered 2007 - 2013
Previously Registered: Being a previously registered professional could mean that James 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.

Professional Summary

James Robert Hurrion, who also goes by James Robert Hurrion Dr, James Hurrion, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 2007 - 2013. James had worked at 3 firms and has passed the Series 63 and Series 17 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

James Robert Hurrion Dr, James Hurrion

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

19 years in the financial services industry

Current & Past Employments

PPG WEST LLC·CRD# 155059
BD
New York, NY
October 29, 2012 - May 16, 2013
PHOENIX DERIVATIVES GROUP, LLC·CRD# 25802
BD
New York, NY
October 20, 2008 - May 16, 2013
J.P. MORGAN SECURITIES INC.·CRD# 18718
BD
New York, NY
May 1, 2007 - August 18, 2008

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Current Firm

PW
PPG WEST LLC

PPG WEST LLC

CRD#: 155059 / SEC#: 8-68691
BD
Terminated by SEC on 09/27/2013

Contact Information

Established

Delaware since 06/15/2010

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
PHOENIX PARTNERS GROUP LPSOLE MEMBER—
BOLTON, JOHN FRANCISCO-CHIEF COMPLIANCE OFFICER5872938
HERSCHITZ, GARY ALLENROSFP5227012
ROCKLEY, PAMELA LOUISECO-CHIEF COMPLIANCE OFFICER1438348
SIPKIN, JOSEPH GARYFINOP, CFO1334813
STEPHAN, NICHOLAS JOHNCEO2936942

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2007About the Series 63 exam

Series 17 — Limited Registered Representative Examination

Passed Apr 2007

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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