James M. Hyndman
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 Michaael Hyndman, who also goes by James Michael Hyndman, Jim Hyndman, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1978. James had worked at 11 firms and has passed the Series 63, Series 6TO, SIE, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2013 - April 3, 2023
THE LEADERS GROUP, INC.
May 9, 2001 - May 25, 2005
M HOLDINGS SECURITIES, INC.
June 8, 1994 - August 5, 2013
PRINCIPAL SECURITIES, INC.
October 15, 1993 - February 18, 1997
VOYA FINANCIAL PARTNERS, LLC
September 14, 1993 - June 9, 1994
G. R. PHELPS & CO., INC.
March 9, 1992 - August 26, 1993
HIMCO DISTRIBUTION SERVICES COMPANY
August 20, 1985 - February 20, 1987
MOORE & SCHLEY/MEEKER SHARKEY GROUP INC.
January 2, 1985 - September 20, 1989
AETNA FINANCIAL SERVICES, INC.
July 19, 1983 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
October 20, 1980 - September 27, 1983
EQUITABLE ADVISORS, LLC
August 17, 1978 - January 22, 1981
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 8/7/1978
Registered Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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