James Haltigan, financial advisor Cape Coral FL
71 score

James Haltigan

CRD Number: 5479384
Current Firm: Fifth Third Securities, Inc.

James Haltigan (CRD# 5479384) is an Investment Advisor Representative working at Fifth Third Securities, Inc. in Cape Coral, FL and has over 8 years of experience in the finance industry.

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Company Name Location Dates Years
Fifth Third Securities Cape Coral, FL Sep 2008 - Current 8
Fifth Third Cape Coral, FL Aug 2008 - Current 8
Guardian Home Watch Cape Coral, FL Jan 2006 - Sep 2008 2
Curves For Women Fort Myers, FL Mar 2000 - Sep 2008 8
Federal Express Naples, FL Feb 1993 - Aug 2008 15
Ameriprise Financial Fort Myers, FL Jan 2008 - Jul 2008 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Apr 2008
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for James T. Haltigan
Phone Number: 888-889-1025
Firm Website: http://www.53.com
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    813
    MILLIONS
  • Total Number of Accounts
    4,744
    ACCOUNTS
  • Average Account Value
    $171,395
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
71

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