James E. Diamond
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 Edward Diamond was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1970. James had worked at 12 firms and has passed the Series 65, Series 66, Series 63, Series 1, Series 27, Series 4 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
May 1, 2009 - April 1, 2011
NEWALLIANCE INVESTMENTS, INC.
April 12, 2007 - July 7, 2008
CONNECTICUT INVESTMENT MANAGEMENT
January 21, 2005 - April 5, 2007
NEWALLIANCE INVESTMENTS, INC.
October 21, 2003 - July 7, 2008
NEWALLIANCE INVESTMENTS, INC.
March 15, 2002 - April 15, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 23, 1992 - February 20, 2002
DIME SECURITIES, INC.
October 4, 1984 - April 3, 1992
INVEST FINANCIAL CORPORATION
November 28, 1983 - November 9, 1988
FIRST TEXAS GROUP, INC.
September 14, 1979 - February 6, 1984
SNIDER-LUND SECURITIES, INC.
June 14, 1978 - August 21, 1979
LEHMAN BROTHERS INC.
September 16, 1977 - August 23, 1978
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
March 17, 1970 - February 27, 1976
BACHE & CO., INCORPORATED
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 1
Date: 4/24/1967
Registered Representative ExaminationSeries 40
Date: 3/9/1970
Registered Principal ExaminationCurrent Firm
NEWALLIANCE INVESTMENTS, INC.
CRD#: 126880 / SEC#: , 8-65924
Contact information
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.
