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JM

James P. Mcdonald

THIRD SEVEN CAPITAL LLC
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 1197622
JM

Professional summary

James Patrick Mcdonald JR, who also goes by James Patrick Mcdonald, Pat Mcdonald Jr, is a registered financial professional currently at THIRD SEVEN CAPITAL LLC located in Greenwich, Connecticut.

James is registered as a RR (Registered Representative) and started their career in finance in 1983. James has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Patrick Mcdonald | Pat Mcdonald Jr

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 Patrick Mcdonald JR's CRS (Customer Relationship Summary).
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

February 7, 2022 - Present

THIRD SEVEN CAPITAL LLC

Office #1: 67 Holly Hill Lane Suite 300c, Greenwich, CT 06830
BD
CRD#: 160209
Greenwich, CT
Past

June 24, 2014 - July 1, 2021

WAYPOINT DIRECT INVESTMENTS, LLC

BD
CRD#: 132475
Boca Raton, FL
Past

June 26, 2013 - January 2, 2014

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
NEW YORK, NY
Past

September 20, 2000 - June 5, 2007

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

June 29, 1998 - December 16, 1998

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

September 2, 1997 - June 29, 1998

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

August 3, 1995 - September 2, 1997

SBC WARBURG, INC.

BD
CRD#: 23745
NEW YORK, NY
Past

April 9, 1991 - February 12, 1995

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

March 18, 1987 - August 8, 1990

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

November 11, 1983 - March 27, 1987

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arkansas
(2/7/2022)
RR
California
(2/7/2022)
RR
Connecticut
(2/7/2022)
RR
Florida
(2/7/2022)
RR
Georgia
(2/7/2022)
RR
Illinois
(2/7/2022)
RR
Maine
(2/7/2022)
RR
Massachusetts
(2/7/2022)
RR
Michigan
(2/7/2022)
RR
New Jersey
(2/7/2022)
RR
New York
(2/7/2022)
RR
North Carolina
(2/7/2022)
RR
South Carolina
(2/7/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 8/30/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/26/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/15/1992
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TS
THIRD SEVEN CAPITAL LLC
THIRD SEVEN CAPITAL ADVISORS | THIRD SEVEN CAPITAL, LLC | THIRD SEVEN CAPITAL LLC

CRD#: 160209 / SEC#: , 8-69032

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

Main Address
67 Holly Hill Lane Suite 8500, New York, NY 10022
Mailing Address
67 Holly Hill Lane Suite 300c, Greenwich, CT 06830
Phone number
(917) 602-6153
Established
Delaware since 07/06/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
THIRD SEVEN GROUP LLCHOLDING COMPANY
DIFIORE, MONICA LISACCO2966552
LEDGER, NICHOLAS MARKCEO/CFO6779287
SAKOL, DANIEL SCOTTFIN OP2813237

Disclosures

Regulatory Event1

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

THIRD SEVEN CAPITAL LLC

CRD#: 160209Greenwich, CT 06830

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