James Reynolds
Professional summary
James Reynolds JR., who also goes by James Reynolds, is a registered financial professional currently at LOOP CAPITAL MARKETS LLC 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 5 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE, Series 3, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Reynolds JR.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
September 19, 1997 - Present
LOOP CAPITAL MARKETS LLC
Office #1: 88 Pine Street 25th Floor, New York, NY 10005Office #2: 580 California Street 16th Floor, San Francisco, CA 94104Office #3: 1515 Market Street Suite 1200, Philadelphia, PA 19102Office #4: 2911 Turtle Creek Blvd Suite 300, Dallas, TX 75219Office #5: 425 S. Financial Place Ste 2700, Chicago, IL 60605Office #6: 440 Louisiana 900, Houston, TX 77002Office #7: 1175 Peachtree St. Ne Suite 1000, Atlanta, GA 30361Office #8: 400 Renaissance Center Suite 2600, Detroit, MI 48243Office #10: 1100 Poydras Street Suite 2900, New Orleans, LA 70163July 22, 2002 - October 12, 2011
LOOP CAPITAL INVESTMENT MANAGEMENT, LLC
August 12, 1988 - August 8, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 15, 1985 - July 28, 1988
UBS FINANCIAL SERVICES INC.
July 21, 1983 - May 1, 1985
CITIGROUP GLOBAL MARKETS 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
(10/19/2006)
(1/19/2000)
(1/19/2000)
(4/3/2003)
(9/19/1997)
(6/27/2006)
(4/2/2003)
(1/19/2000)
(8/1/2006)
(10/29/1997)
(10/21/1997)
(7/6/2006)
(1/25/2000)
(3/2/2009)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
Red Flags
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