James M. Corboy
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 Mcnally Corboy, who also goes by Jim Corboy, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 15 firms and has passed the Series 63, Series 3, PC, Series 1, Series 8, Series 4 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
May 23, 2013 - June 3, 2014
PENATES GROUP, INC.
August 1, 2012 - May 24, 2013
INDEPENDENT INVESTMENT BANKERS, CORP.
March 26, 2012 - July 6, 2012
BURCH & COMPANY, INC
January 11, 2012 - January 31, 2012
CBC SECURITIES, INC.
October 28, 2008 - September 23, 2011
W.G. NIELSEN & CO.
April 24, 2008 - October 22, 2008
GVC CAPITAL LLC
June 7, 2000 - January 14, 2005
CORBOY AND JERDE, LLC
April 8, 1998 - October 11, 1999
CENTURY CAPITAL GROUP, INC.
October 14, 1994 - April 14, 1998
SKB CORBOY, INC
April 11, 1989 - October 14, 1994
CORBOY & COMPANY, L.P.
October 5, 1988 - April 17, 1989
WELLS FARGO INVESTMENTS, LLC
June 2, 1986 - October 3, 1988
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 6, 1979 - June 16, 1986
WILLIAM BLAIR
May 26, 1977 - December 5, 1979
BOETTCHER & COMPANY, INC.
November 13, 1974 - June 5, 1977
WILLIAM BLAIR
November 1, 1970 - December 26, 1974
BLYTH EASTMAN DILLON & CO. 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
PC
Date: 5/20/1981
AMEX Put and Call ExamSeries 1
Date: 1/21/1965
Registered Representative ExaminationSeries 8
Date: 8/4/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 6/23/1978
Registered Principal ExaminationCurrent Firm
PENATES GROUP, INC.
CRD#: 44266 / SEC#: , 8-50594
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OBRIEN, JOHN PATRICK | PRESIDENT AND CEO, CHIEF COMPLIANCE OFFICER | 2637870 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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