James L. Mccoy
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 Labon Mccoy JR, who also goes by Jim Mccoy Jr, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1979. James had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2003 - January 23, 2017
FIRST TRYON SECURITIES, LLC
September 10, 2003 - November 6, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 4, 2003 - November 6, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 29, 2003 - June 9, 2003
WELLS FARGO SECURITIES, LLC
March 1, 2002 - July 3, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - August 29, 2000
WELLS FARGO CLEARING SERVICES, LLC
July 14, 1998 - April 5, 1999
JACKSON SECURITIES LLC
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
March 11, 1992 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
February 4, 1991 - March 11, 1992
J.C. BRADFORD & CO.
November 5, 1979 - February 13, 1991
FIRST TRYON SECURITIES, LLC
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
FIRST TRYON SECURITIES, LLC
CRD#: 7336 / SEC#: , 8-21426
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRUNNEMER & CO. | MEMBER | |
| BRUNNEMER, HUBER KEITH III | MEMBER, CEO, PRESIDENT AND EXECUTIVE REPRESENTATIVE | 2758256 |
| BECK, ERIC JASON | CCO | 4824373 |
| BRUNNEMER, HEBER KEITH JR | MEMBER | 33824 |
| CARPENTER, MARGARET BRUNNEMER MS. | MEMBER, CHIEF FINANCIAL OFFICER, FINOP, | 2042716 |
| HOWELL, ELIZABETH WARREN | MEMBER, SENIOR VICE PRESIDENT | 4791377 |
| JOSEPH, ERIC MICHAEL | MEMBER, SENIOR VICE PRESIDENT | 4001509 |
| WARDLAW, CRAIG M JR. | MEMBER, SENIOR VICE PRESIDENT | 5316503 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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