James P. Munroe
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 Philip Munroe, who also goes by James Munroe, Jim Munroe, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2020. James had worked at 2 firms and has passed the Series 65, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2022 - June 21, 2023
CEDRUS
July 27, 2020 - December 2, 2020
EQUITABLE ADVISORS, 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
Series 7TO
Date: 7/27/2020
General Securities Representative ExaminationCurrent Firm
CEDRUS
CRD#: 312878 / SEC#: 801-120443
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,007 |
| AUM (Assets Under Management) | $ 651,135,672 |
Red Flags
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