James M. Farwell
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 Michael Farwell was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2008. James had worked at 2 firms and has passed the Series 79 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
October 12, 2012 - February 11, 2013
SUNDIAL GROUP, LLC
May 30, 2008 - May 7, 2009
TRADE-PMR INC.
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
Current Firm
SUNDIAL GROUP, LLC
CRD#: 158367 / SEC#: , 8-68894
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOUNTAINSIDE HOLDINGS, LLC | MANAGING MEMEBR | |
| BRITTON, WILLIAM ROBERT | PRESIDENT/ CEO/ CCO/ ELECTED MANAGER | |
| BURNS, DAVID CARROLL | PRINCIPAL/ ELECTED MANAGER | |
| JOHNSON, KRISTY KAY | FINOP/CFO | 4470948 |
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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