James J. Tobin
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 Tobin was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2014. James had worked at 2 firms and has passed the Series 63, 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 18, 2015 - June 1, 2015
ARK GLOBAL, LLC
May 21, 2014 - March 13, 2015
COMPASS SECURITIES CORPORATION
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
ARK GLOBAL, LLC
CRD#: 172684 / SEC#: , 8-69520
Contact information
FINRA licenses (20 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DISTANTE, HEIDI T | LIMITED PARTNER | |
| IMPACTU INVESTMENTS LLC | MANAGEMENT COMPANY | |
| MURPHY, SANDRA POWERS | OSJ MANAGER | 2280973 |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Red Flags
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