Individual Firm
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JOHN W JAMES
JOHN WHITAKER JAMES JR, John W James Jr
CRD#: 2429158
IA
B
MORGAN STANLEYCRD#: 149777 2000 Westchester Avenue
1NC
Purchase, NY 10577
1NC
Purchase, NY 10577
0
Disclosures
5
Years of Experience
View By:
State Registrations
B
California 8/16/2024
B
New Jersey 8/16/2024
B
Colorado 8/16/2024
B
New York 3/1/2024
B
Connecticut 3/1/2024
IA
New York 3/1/2024
IA
Connecticut 3/1/2024
B
North Carolina 8/16/2024
B
Delaware 8/16/2024
B
Ohio 8/17/2024
B
District of Columbia 8/16/2024
B
Pennsylvania 8/16/2024
B
Florida 8/16/2024
B
Rhode Island 8/16/2024
B
Georgia 8/16/2024
B
South Carolina 8/16/2024
B
Idaho 8/16/2024
B
Tennessee 8/16/2024
B
Illinois 8/16/2024
B
Texas 8/16/2024
B
Maine 8/16/2024
IA
Texas 8/24/2024
B
Maryland 8/16/2024
B
Vermont 8/16/2024
B
Massachusetts 8/16/2024
B
Virginia 8/16/2024
B
Montana 8/16/2024
B
Washington 8/16/2024
B
New Hampshire 8/16/2024
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 3/1/2024
B
Registered with this firm since 2/29/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/03/2022 - 12/19/2024 | NEW YORK, NY | |
B | 01/29/1994 - 10/29/1996 | NEW CANAAN, CT |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.