James M. Tormey
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 Tormey, who also goes by Jim Michael Tormey, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2011. James had worked at 2 firms and has passed the Series 63, Series 6TO, SIE, Series 79 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2019 - June 21, 2022
DAYBRIGHT SECURITIES, LLC
May 12, 2011 - July 26, 2013
MORGAN STANLEY & CO. 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
Series 6TO
Date: 4/8/2019
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
DAYBRIGHT SECURITIES, LLC
CRD#: 293128 / SEC#: , 8-70084
Contact information
FINRA licenses (20 States and Territories)
Documents
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.
