James T. Shanley
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 Thomas Shanley was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1977. James had worked at 21 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 53, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2009 - July 9, 2018
AUGMENT SECURITIES INC.
January 13, 2009 - March 28, 2014
TERRANOVA CAPITAL EQUITIES, INC
July 22, 2008 - November 24, 2009
SEAPINE SECURITIES, LLC
December 5, 2007 - January 8, 2009
AUGMENT SECURITIES INC.
April 29, 2004 - November 23, 2005
GARDEN STATE SECURITIES, INC.
April 22, 2002 - October 12, 2005
JANSSEN PARTNERS, INC.
January 25, 2002 - August 21, 2002
CLARK DODGE & CO., INC.
June 23, 1999 - April 26, 2000
FIRST PROVIDENCE FINANCIAL GROUP, LLC
August 18, 1998 - June 22, 1999
CLARK DODGE & CO., INC.
August 8, 1995 - October 9, 1995
WINDSOR REYNOLDS SECURITIES, INC.
January 20, 1995 - September 27, 1995
AUGMENT SECURITIES INC.
May 10, 1994 - February 16, 1995
LT LAWRENCE & CO., INC.
August 11, 1993 - March 31, 1994
LANCASTER LEEDS & CO., INC.
March 19, 1993 - August 3, 1998
WALSH MANNING SECURITIES, LLC
April 20, 1992 - February 2, 1993
LCP CAPITAL CORP.
February 16, 1990 - December 17, 1990
GLOBAL AMERICA INCORPORATED
January 12, 1988 - November 14, 1988
GREENTREE SECURITIES CORP.
December 16, 1987 - April 11, 1989
INVESTEXAS FINANCIAL SERVICES, INC.
April 30, 1986 - February 3, 1988
BROOKS WEINGER ROBBINS & LEEDS INC.
February 25, 1985 - April 9, 1986
KUHNS BROTHERS & LAIDLAW, INC.
November 7, 1983 - October 13, 1984
VOSS & CO., INC.
September 29, 1979 - November 18, 1985
MOSELEY SECURITIES CORPORATION
December 12, 1978 - October 4, 1983
SECURITIES SETTLEMENT CORPORATION
July 1, 1977 - August 29, 1979
THOMSON MCKINNON SECURITIES 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 55
Date: 9/18/1998
Limited Representative-Equity Trader ExamCurrent Firm
AUGMENT SECURITIES INC.
CRD#: 28373 / SEC#: , 8-43665
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Red Flags
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