James H. Nolan
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 Hennessee Nolan, who also goes by Jay Nolan, James H Nolan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2013. James had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2025 - April 24, 2025
VIGILANT DISTRIBUTORS, LLC
July 30, 2024 - December 31, 2024
MARINER GROUP CAPITAL MARKETS, LLC
April 20, 2021 - February 15, 2022
VANGUARD PERSONALIZED INDEXING MANAGEMENT
August 30, 2013 - June 27, 2019
RIVERNORTH CAPITAL MANAGEMENT, LLC
April 1, 2013 - June 3, 2019
ALPS DISTRIBUTORS, 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
Series 7TO
Date: 7/29/2024
General Securities Representative ExaminationCurrent Firm
VIGILANT DISTRIBUTORS, LLC
CRD#: 285573 / SEC#: , 8-69854
Contact information
FINRA licenses (53 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.
