James R. Curley
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 Robert Curley was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 8 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 30 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2021 - January 4, 2022
MAREX CAPITAL MARKETS INC.
January 4, 2010 - August 8, 2014
NORTHEAST SECURITIES, LLC
July 25, 2007 - January 13, 2010
RCM SECURITIES
January 20, 2004 - August 23, 2007
BROKERSXPRESS LLC
April 10, 2001 - October 13, 2003
FINANCIAL SOLUTIONS INTERNATIONAL, LLC
February 5, 1999 - November 20, 2000
LFG, L.L.C.
November 25, 1986 - March 18, 1997
MF GLOBAL INC.
October 20, 1982 - November 25, 1986
GELDERMANN SECURITIES INC.
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 7TO
Date: 5/26/2021
General Securities Representative ExaminationCurrent Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
Red Flags
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