James J. Hall
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 Joseph Hall, who also goes by James J Hall, Jim Hall, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 1984 - June 24, 1987
FIRST AFFILIATED SECURITIES, INC.
August 27, 1984 - December 4, 1984
USLIFE EQUITY SALES CORP.
August 1, 1984 - November 2, 1984
INVESTORS BROKERAGE SERVICES, INC.
June 23, 1981 - August 1, 1984
BLUNT ELLIS & LOEWI 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
Current Firm
FIRST AFFILIATED SECURITIES, INC.
CRD#: 6871 / SEC#: , 8-20558
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.
