James P. Avola
Professional summary
James Paul Avola was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James Paul Avola was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2008. James had worked at 3 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2012 - September 30, 2013
CELADON FINANCIAL GROUP LLC
January 13, 2010 - September 13, 2012
TWS FINANCIAL, LLC.
August 21, 2008 - November 20, 2009
SYNERGY INVESTMENT GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CELADON FINANCIAL GROUP LLC
CRD#: 36538 / SEC#: , 8-47288
Contact information
FINRA licenses (35 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HERSCH, DARYL SCOTT | CEO/MAJORITY MEMBER/GSP/ROSFP | 1255474 |
| CAMBRIA HOLDINGS, INC. | MINORITY MEMBER | |
| COSTINE, MELISSA ANNE | OPERATIONS MANAGER/GSP | 2646983 |
| NAVAS, NELSON GABRIEL | CFO/FINOP/GSP | 5092353 |
| PASTINE, ARMAND RALPH | HEAD OF CAPITAL MARKETS/GSP | 2257531 |
| WALDMAN, PAUL MITCHELL | CCO/AMLCO/GSP/ROSFP | 1885767 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
Red Flags
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