James G. Gormley
Professional summary
James Gerard Gormley, who also goes by Jim Gormley, is a registered financial professional currently at KINGSWOOD CAPITAL PARTNERS, LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1992. James has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Gerard Gormley's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 19, 2023 - Present
KINGSWOOD CAPITAL PARTNERS, LLC
Office #1: 126 E 56 St Suite 301, New York, NY 10022June 28, 2019 - May 19, 2023
D. BORAL CAPITAL
August 28, 2012 - June 25, 2019
CAPITOL SECURITIES MANAGEMENT, INC.
December 9, 2011 - September 7, 2012
INTL ADVISORY CONSULTANTS INC.
December 9, 2011 - September 7, 2012
STERNE, AGEE & LEACH, INC.
October 25, 2005 - December 9, 2011
ANDERSON & STRUDWICK, INCORPORATED
October 24, 2005 - December 9, 2011
ANDERSON & STRUDWICK, INCORPORATED
June 4, 2004 - October 26, 2005
MORGAN KEEGAN & COMPANY, LLC
June 4, 2004 - October 26, 2005
MORGAN KEEGAN & COMPANY, LLC
March 30, 2004 - June 15, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
July 25, 2000 - June 15, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
June 21, 1996 - August 2, 2000
MORGAN KEEGAN & COMPANY, LLC
July 24, 1992 - July 3, 1996
J.C. BRADFORD & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/19/2023)
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(5/19/2023)
Exams
FINRA
Current Firm
KINGSWOOD CAPITAL PARTNERS, LLC
CRD#: 288898 / SEC#: , 8-69967
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KINGSWOOD US, LLC | MEMBER | |
| ALSORAIMI, MOHAMED | CCO | 5319490 |
| GOLDEN, JAIME GALIONE | PRESIDENT - BUSINESS DEVELOPMENT AND ACQUISITIONS | 2946822 |
| NESSIM, MICHAEL HASKEL | CEO | 2573543 |
| PITKOFF, DAVID JONATHAN | CFO | 2822280 |
| RAYEVSKIY, VALERIY P | COO | 5788810 |
| ROMERO, MONIQUE VICTORIA | FINOP | 6712654 |
| WILDER, JEREMY MATHEW | CHIEF LEGAL OFFICER | 7080690 |
Red Flags
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