James O. Hetherington
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 O Hetherington, who also goes by James Oliver Hetherington, Jim O Hetherington, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2013. James had worked at 3 firms and has passed the Series 66, SIE 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
March 30, 2017 - September 14, 2017
ETFMG FINANCIAL LLC
March 11, 2017 - March 15, 2017
ETFMG FINANCIAL LLC
December 9, 2015 - March 31, 2017
ALPS DISTRIBUTORS, INC.
September 17, 2013 - April 4, 2014
PNC WEALTH MANAGEMENT LLC
August 12, 2013 - April 4, 2014
PNC WEALTH MANAGEMENT LLC
State Registrations and Notice Filings
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Exams
Current Firm
ETFMG FINANCIAL LLC
CRD#: 284172 / SEC#: , 8-69792
Contact information
Documents
Red Flags
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