James M. Dullanty
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 Michael Dullanty was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1976. James had worked at 5 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2011 - December 9, 2011
EXOS ADVISORS, LLC
January 16, 2009 - May 30, 2014
XFA SECURITIES, LLC
July 2, 2008 - October 1, 2008
FINANCIAL TELESIS INC
July 2, 2008 - October 1, 2008
FINANCIAL TELESIS INC
January 1, 1992 - July 5, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 1978 - July 5, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 1, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 8
Date: 1/7/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current firm
No current employment
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
