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JO

James J. Oates

ADELPHI STOCK BROKERS
New York, NY 10017
Some features on this profile are disabled
CRD#: 1193394
JO

Professional summary

James Joseph Oates, who also goes by James J Oates, is a registered financial professional currently at ADELPHI STOCK BROKERS located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2001. James has worked at 8 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 27, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James J Oates

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 Joseph Oates'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

May 16, 2024 - Present

ADELPHI STOCK BROKERS

Office #1: 575 Fifth Av 8th Floor, New York, NY 10017
BD
CRD#: 309048
New York, NY
Past

September 23, 2014 - May 20, 2024

HOLD BROTHERS CAPITAL LLC

BD
CRD#: 151864
NEW YORK, NY
Past

February 10, 2014 - August 11, 2014

HOLD BROTHERS CAPITAL LLC

BD
CRD#: 151864
NEW YORK, NY
Past

January 9, 2013 - April 25, 2013

HOLD BROTHERS CAPITAL LLC

BD
CRD#: 151864
NEW YORK, NY
Past

November 30, 2010 - August 3, 2012

HOLD BROTHERS CAPITAL LLC

BD
CRD#: 151864
NEW YORK, NY
Past

November 1, 2006 - August 3, 2012

SODALITE FINANCIAL SERVICES, LLC

BD
CRD#: 136668
NEW YORK, NY
Past

October 31, 2006 - August 3, 2012

TAFFERER TRADING, LLC

BD
CRD#: 36816
NEW YORK, NY
Past

January 7, 2005 - July 25, 2006

TRADEUP SECURITIES, INC.

BD
CRD#: 18483
NEW YORK, NY
Past

February 20, 2003 - October 18, 2004

REFCO SECURITIES, LLC

BD
CRD#: 14094
NEW YORK, NY
Past

June 12, 2001 - March 14, 2002

A.B. WATLEY DIRECT, INC.

BD
CRD#: 18663
NEW YORK, NY
Past

March 30, 2001 - January 30, 2002

A.B. WATLEY, INC.

BD
CRD#: 797
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
RR
Series 63
Date: 8/3/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 10/12/2010
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/29/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 4/16/2007
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/12/2001
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/20/2001
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/17/2001
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ADELPHI STOCK BROKERS
ADELPHI STOCK BROKERS | ADELPHI STOCK BROKERS INC.

CRD#: 309048 / SEC#: , 8-70519

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
40 Cornwall Lane, Sands Point, NY 11050
Mailing Address
40 Cornwall Lane, Sands Point, NY 11050
Phone number
(646) 479-1146
Established
Delaware since 01/24/2020
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ARMOUR, JOHNINVESTOR
SAMUEL, VICTOR THOPPILCEO2823668
CLARKE, SANDRA ELAINECHIEF COMPLIANCE OFFICER7607103
GEORGE, KENNETH RONALDFIN-OP2643369
OATES, JAMES JOSEPHCLEARANCE & SETTLEMENT MANAGER1193394

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

ADELPHI STOCK BROKERS

CRD#: 309048New York, NY 10017

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