Bruce D. James
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.
Bruce Donald James, who also goes by James Bruce Donald, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1984. Bruce had worked at 6 firms and has passed the SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2012 - March 7, 2013
PIERPONT CAPITAL ADVISORS LLC
December 17, 2009 - June 5, 2020
SANTANDER US CAPITAL MARKETS LLC
May 1, 2001 - June 18, 2007
J.P. MORGAN SECURITIES INC.
June 16, 1993 - May 1, 2001
JPMSI
August 12, 1986 - June 2, 1993
NOMURA SECURITIES INTERNATIONAL, INC.
May 22, 1984 - October 8, 1984
ARBITRAGE MANAGEMENT COMPANY
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
Current Firm
PIERPONT CAPITAL ADVISORS LLC
CRD#: 108424 / SEC#: , 8-53078
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIERPONT CAPITAL ADVISORS INC | 100% 0WNER | |
| BLAUVELT, JOSEPH PATRICK | MEMBER BOARD OF MANAGERS; FINOP | 1799557 |
| CONNOR, THOMAS CHARLES | MEMBER BOARD OF MANAGERS | 1047477 |
| FENSKE, BRUCE EDWARD | C0-CHIEF COMPLIANCE OFFICER | 1469564 |
| HEBERT, VALERIE ODETTE | CO-CHIEF COMPLIANCE OFFICER | 4007252 |
| MILLET, TIMOTHY KELLEY | CEO | 2025087 |
| WERNER, MARK BLACK | CHAIRMAN MEMBER BOARD OF MANAGERS | 730268 |
Red Flags
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