James J. Darby
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 Darby was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1973. James had worked at 3 firms and has passed the F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 1976 - August 26, 1986
J.J. DARBY & CO., INC.
March 12, 1976 - September 26, 1976
UNDERHILL ASSOCIATES, INCORPORATED
January 5, 1973 - October 31, 1974
WHITE, WELD & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
F04
Date: 9/16/1976
Financial Principal ExaminationSeries 40
Date: 4/29/1976
Registered Principal ExaminationCurrent Firm
J.J. DARBY & CO., INC.
CRD#: 7285 / SEC#: , 8-20638
Contact information
Documents
Red Flags
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