James Francis Desmond
Professional Summary
James Francis Desmond, who also goes by Jim Desmond, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1971 - 2000. James had worked at 9 firms and has passed the Series 63, Series 55 and Series 00 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jim Desmond
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
55 years in the financial services industry
Current & Past Employments
Past
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Current Firm
EFUTURES | WOLCOTT & LINCOLN DIVISION | SERVICE ASSET MANAGEMENT COMPANY | PENSON GHCO | PENSON FUTURES, A DIVISION OF PENSON FINANCIAL SERVICES, INC. | PENSON FINANCIAL SERVICES, INC. | FIRST CAPITOL AG
Contact Information
Established
North Carolina since 10/17/1989Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
23Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Mar 2000Series 00 — General Securities Principal Examination
Passed Mar 1971Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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