James H. Heald
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 Hamilton Heald JR was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2015 - July 28, 2016
FIRST EMPIRE SECURITIES, INC.
May 3, 2013 - March 30, 2015
CASTLEOAK SECURITIES, LP
October 17, 2007 - May 10, 2013
CABRERA CAPITAL MARKETS, LLC
April 6, 2006 - October 22, 2007
ROBERT W. BAIRD & CO. INCORPORATED
July 1, 2004 - February 1, 2006
J.P. MORGAN SECURITIES INC.
February 22, 1989 - July 1, 2004
BANC ONE CAPITAL MARKETS, INC.
August 5, 1988 - July 26, 1989
WINGSPAN INVESTMENT SERVICES
April 13, 1981 - February 2, 1983
MOSELEY SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
FIRST EMPIRE SECURITIES, INC.
CRD#: 15129 / SEC#: , 8-31701
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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