AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why Advisor Check
JF

James C. Flowers

J.C. FLOWERS SECURITIES CO. LLC
NEW YORK, NY 10019
Some features on this profile are disabled
CRD#: 1050979
JF

Professional summary


James Christopher Flowers, who also goes by J. Christopher Flowers, is a registered financial professional currently at J.C. FLOWERS SECURITIES CO. LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1984. James has worked at 2 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


J. Christopher Flowers

Other business activities


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.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view James Christopher Flowers's CRS (Customer Relationship Summary).

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Current

November 13, 2014 - Present

J.C. FLOWERS SECURITIES CO. LLC

Office #1: 1301 Avenue Of The Americas 16th Floor, New York, NY, 10019Office #2: 2875 South Ocean Blvd, Palm Beach, FL 33480Office #3: 1301 Avenue Of The Americas 16th Floor, New York, NY, 10019
BD
CRD#: 168757
NEW YORK, NY
Past

July 26, 1984 - March 10, 1999

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(9/11/2025)
RR
New York
(4/8/2015)

Exams


State Security Law Exam
RR
Series 63
Date: 6/4/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA

Current Firm


JF
J.C. FLOWERS SECURITIES CO. LLC
J.C. FLOWERS SECURITIES CO. LLC

CRD#: 168757 / SEC#: , 8-69325

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information


Main Address
1301 Avenue Of The Americas 16th Floor, New York, NY, 10019
Mailing Address
1301 Avenue Of The Americas 16th Floor, New York, NY, 10019
Phone number
(212) 404-6800
Established
Delaware since 06/20/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Direct owners and executive officers


NamePositionCRD#
FLOWERS, JAMES CHRISTOPHERCEO1050979
ARORA, VRINDAFINOP7784034
ROCKER, SALLY ANNCHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL5286094

Red Flags


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.

Company Information


J.C. FLOWERS SECURITIES CO. LLC

CRD#: 168757New York, NY 10019

TRUST BUT VERIFY

Monitor James Flowers

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors


Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo

AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics