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JM

James Mccurry

CRD# 853736·Registered 1978 - 1993
Previously Registered: Being a previously registered professional could mean that James 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.

Professional Summary

James Mccurry, who also goes by Jim Mccurry, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1978 - 1993. James had worked at 6 firms and has passed the Series 63, Series 7, Series 27, Series 53, Series 24 and Series 4 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jim Mccurry

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

48 years in the financial services industry

Current & Past Employments

THE BIEDENHARN INVESTMENT GROUP, INC.·CRD# 21332
BD
April 6, 1988 - June 9, 1993
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
February 15, 1988 - March 4, 1988
E. F. HUTTON & COMPANY INC·CRD# 235
BD
February 11, 1985 - February 15, 1988
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
September 30, 1983 - February 14, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
September 26, 1978 - October 11, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.·CRD# 572
BD
June 22, 1978 - September 26, 1978

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Current Firm

TB
THE BIEDENHARN INVESTMENT GROUP, INC.

THE BIEDENHARN INVESTMENT GROUP, INC.

CRD#: 21332 / SEC#: 8-38852
BD
Terminated by SEC on 07/16/1993

Contact Information

Established

Louisiana since 08/18/1987

Firm Type

Corporation

Fiscal Year End

December

Documents

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1985About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jun 1978About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed Jul 1988About the Series 27 exam

Series 53 — Municipal Securities Principal Examination

Passed Feb 1988About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Feb 1988About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed Dec 1987About the Series 4 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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JM
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