James Mcnally Corboy
Professional Summary
James Mcnally Corboy, who also goes by Jim Corboy, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1970 - 2014. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jim Corboy
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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.
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Years of Experience
61 years in the financial services industry
Current & Past Employments
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Current Firm
PENATES GROUP, INC.
Contact Information
Established
Arizona since 08/27/1997Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OBRIEN, JOHN PATRICK | PRESIDENT AND CEO, CHIEF COMPLIANCE OFFICER | 2637870 |
Disclosures
Regulatory Event
1Similar Advisors
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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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed May 1981Series 1 — Registered Representative Examination
Passed Jan 1965Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Aug 1986Series 40 — Registered Principal Examination
Passed Jun 1978Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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