James B. Roper

MARCO POLO SECURITIES

NEW YORK, NY 10020

Some features on this profile are disabled

CRD#: 1096057

Professional summary

James Brian Roper is a registered financial professional currently at MARCO POLO SECURITIES INC. located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1983. James has worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Brian Roper'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

March 9, 2017 - Present

MARCO POLO SECURITIES INC.

Office #1: 1230 Avenue Of Am 16th Floor, New York, NY 10020

CRD#: 46561

NEW YORK, NY

Past

March 31, 2016 - March 10, 2017

BRADLEY WOODS & CO. LTD.

CRD#: 13660

NEW YORK, NY

Past

September 24, 2010 - April 1, 2016

STONEX FINANCIAL INC.

CRD#: 45993

New York, NY

Past

December 11, 2003 - September 30, 2010

PROVIDENT INTERNATIONAL SECURITIES, INC.

CRD#: 103834

NEW YORK CITY, NY

Past

November 14, 1988 - July 18, 1994

LEHMAN SPECIAL SECURITIES INC.

CRD#: 7242

Past

July 25, 1987 - October 23, 1995

LEHMAN GOVERNMENT SECURITIES INC.

CRD#: 19655

Past

March 1, 1983 - June 27, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

CRD#: 7555

Past

February 24, 1983 - March 13, 2000

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 11/22/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/28/1990

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MARCO POLO SECURITIES INC.

DEVINE SECURITIES INC. | MARCO POLO SECURITIES INC.

CRD#: 46561 / SEC#: , 8-51480

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

1230 Avenue Of Am 16th Floor, New York, NY 10020

Mailing Address

1230 Avenue Am 16th Floor, New York, NY 10020

Phone number

(347) 773-4959

Established

New York since 10/26/1998

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MARCO POLO EXCHANGE LLC	OWNER
CARLSON, STEVEN JACK	CHAIRMAN & PRESIDENT, MANAGER OF CORP FIN, AND DIRECTOR	2026011
EBERSTADT, OLIVER ROBERT	CCO	1808170
MACK, ALEXANDER HERBERT	FINOP	4805607

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James B. Roper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Brian Roper's CRS (Customer Relationship Summary).

Certified licenses

Experience

BRADLEY WOODS & CO. LTD.

STONEX FINANCIAL INC.

PROVIDENT INTERNATIONAL SECURITIES, INC.

LEHMAN SPECIAL SECURITIES INC.

LEHMAN GOVERNMENT SECURITIES INC.

LEHMAN BROTHERS KUHN LOEB INCORPORATED

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/22/2010

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/19/1983

Series 24

Date: 9/28/1990

FINRA

Current Firm

MARCO POLO SECURITIES INC.

Contact information

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

MARCO POLO SECURITIES INC.

TRUST BUT VERIFY

Similar Advisors