James J. Donovan
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 Donovan, who also goes by James J Donovan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1975. James had worked at 14 firms and has passed the Series 63, SIE, Series 7 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
January 4, 2016 - September 12, 2016
NATALLIANCE SECURITIES, LLC
July 21, 2009 - January 20, 2016
JANNEY MONTGOMERY SCOTT LLC
April 27, 2005 - October 13, 2006
CANTOR FITZGERALD SECURITIES
December 2, 2003 - February 13, 2009
CANTOR FITZGERALD & CO.
September 10, 2002 - December 1, 2003
ALLY SECURITIES LLC
March 28, 2001 - August 12, 2002
FHN FINANCIAL SECURITIES CORP.
August 23, 2000 - November 30, 2000
PRUDENTIAL EQUITY GROUP, LLC
March 14, 1994 - June 20, 1994
YOUNG CAPITAL GROUP (LIMITED PARTNERSHIP)
February 15, 1994 - July 21, 2000
MESIROW FINANCIAL, INC.
April 10, 1990 - February 25, 1994
YOUNG CAPITAL GROUP (LIMITED PARTNERSHIP)
June 26, 1989 - March 19, 1990
QUADREX SECURITIES CORPORATION
April 18, 1989 - May 3, 1989
SANDLER, O'NEILL & PARTNERS, L.P.
September 2, 1988 - February 7, 1989
JPMSI
March 8, 1983 - June 10, 1988
MORGAN STANLEY DW INC.
August 25, 1975 - November 23, 1982
THE CHICAGO CORPORATION
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
NATALLIANCE SECURITIES, LLC
CRD#: 39455 / SEC#: , 8-48723
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATALLIANCE HOLDING COMPANY LLC | OWNER | |
| ADAMS, JASON | BOARD MEMBER | 2690575 |
| BRENNER, ANDREW SCOTT | BOARD MEMBER | 1227535 |
| BUSH, FRED COSTON | CFO/COO | 3075024 |
| CARREON, MICHELLE ELLIS | CCO | 4861485 |
| GIORDANO, MICHAEL JAMES | BOARD MEMBER | 5942248 |
| HENDRICKSON, GEORGE ALEXANDER BROWN | BOARD MEMBER | 2382347 |
| LIEPMAN, JOHN FRANCIS | BOARD MEMBER | 2037298 |
| LOERCH, SAMUEL JAMES | BOARD MEMBER | 1195328 |
| SALTER, MARK MYLES | BOARD MEMBER/CEO/PRESIDENT | 1180139 |
| TAYLOR, BRADFORD STEPHEN | BOARD MEMBER | 5751455 |
Disclosures
| Regulatory Event | 8 |
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.
