James P. Orazio
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 Paul Orazio was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1978. James had worked at 8 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 3, Series 5, Series 7, Series 9, Series 10, Series 53, Series 4, 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
January 8, 2019 - August 20, 2021
FINPOSTFIN LLC
September 25, 2002 - August 20, 2021
MAXIM GROUP LLC
June 1, 1999 - October 25, 2002
HAPOALIM SECURITIES USA, INC.
October 3, 1991 - June 1, 1999
STUART, COLEMAN & CO., INC.
January 18, 1990 - September 27, 1991
JJC SECURITIES CO., INC.
January 2, 1990 - January 29, 1990
HANIFEN, IMHOFF SECURITIES CORP.
October 4, 1989 - January 29, 1990
J. T. MORAN & CO., INC.
October 27, 1978 - January 2, 1990
MOORE & SCHLEY, CAMERON & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 5
Date: 11/18/1981
Interest Rate Options ExaminationSeries 8
Date: 5/24/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FINPOSTFIN LLC
CRD#: 297463 / SEC#: , 8-70141
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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