James J. Mooney
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 Joseph Mooney III, who also goes by James Joseph Mooney, James Joseph Mooney III, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2012. James had worked at 3 firms and has passed the Series 63, SIE, Series 3 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
January 22, 2014 - March 8, 2016
SCOTTSDALE CAPITAL ADVISORS CORP
January 31, 2013 - December 3, 2013
NORTHERN LIGHTS DISTRIBUTORS, LLC
January 25, 2012 - January 10, 2013
CHARLES SCHWAB & CO., 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
SCOTTSDALE CAPITAL ADVISORS CORP
CRD#: 118786 / SEC#: 801-60965, 8-53685
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
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.
