James E. Cavallo
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 Edward Cavallo was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1976. James had worked at 7 firms and has passed the Series 63, Series 6, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2000 - February 26, 2003
THE THOMPSON GROUP, INC.
October 23, 1987 - December 13, 1988
JAMES J. DUANE & CO., INC.
June 13, 1984 - March 6, 1986
EBCO SECURITIES TRADING CO.,INC.
April 2, 1982 - July 1, 1983
CITIGROUP GLOBAL MARKETS INC.
November 14, 1979 - April 1, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
February 12, 1979 - December 2, 1979
LEHMAN BROTHERS INC.
March 11, 1976 - January 29, 1979
METROPOLITAN LIFE INSURANCE COMPANY
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 1
Date: 3/8/1976
Registered Representative ExaminationCurrent Firm
THE THOMPSON GROUP, INC.
CRD#: 21812 / SEC#: , 8-40277
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 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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