James H. Mccord
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 Hamilton Mccord, who also goes by James Hamilton Mccord, James Hamilton Mccord V, James Mccord, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2010. James had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2024 - August 19, 2025
CITADEL SECURITIES LLC
September 4, 2024 - August 19, 2025
CITADEL SECURITIES INSTITUTIONAL LLC
August 2, 2023 - August 19, 2025
PALAFOX TRADING LLC
August 30, 2019 - June 13, 2023
BOFA SECURITIES, INC.
June 24, 2013 - June 26, 2019
BNP PARIBAS SECURITIES CORP.
March 11, 2010 - June 6, 2013
SANTANDER US CAPITAL MARKETS LLC
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
CITADEL SECURITIES LLC
CRD#: 116797 / SEC#: , 8-53574
Contact information
FINRA licenses (15 States and Territories)
Documents
Disclosures
| Regulatory Event | 75 |
| Arbitration | 1 |
Red Flags
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.
