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JF

James B. Fellus

Some features on this profile are disabled
CRD#: 1224870
JF

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Benjamin Fellus, who also goes by James B Fellus, Jimmy Fellus, was a registered financial advisor .

James is a previously registered financial advisor and started their career in finance in 1987. James had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James B Fellus | Jimmy Fellus

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 2, 2016 - November 1, 2016

SPENCER-WINSTON SECURITIES CORPORATION

BD
CRD#: 8300
NEW YORK, NY
Past

February 19, 2013 - August 28, 2014

BRAVER STERN SECURITIES LLC

BD
CRD#: 29108
NASHVILLE, TN
Past

October 3, 2011 - November 6, 2012

TEJAS SECURITIES GROUP, INC.

BD
CRD#: 36705
NEW YORK, NY
Past

July 12, 2010 - December 2, 2010

SSC NY CORP.

BD
CRD#: 29804
NEW YORK, NY
Past

October 22, 2008 - May 13, 2010

JESUP & LAMONT SECURITIES CORP

RIA
CRD#: 39056
NEW YORK, NY
Past

April 23, 2008 - May 13, 2010

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
NEW YORK, NY
Past

January 18, 2006 - May 6, 2008

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
NEW YORK, NY
Past

May 25, 2005 - July 6, 2005

AURA FINANCIAL SERVICES, INC.

BD
CRD#: 42822
BIRMINGHAM, AL
Past

November 4, 2002 - June 13, 2003

A.B. WATLEY, INC.

BD
CRD#: 797
NEW YORK, NY
Past

December 18, 1995 - June 26, 2002

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

January 12, 1995 - December 19, 1995

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

January 19, 1994 - December 30, 1994

BHF SECURITIES CORPORATION

BD
CRD#: 7749
NEW YORK, NY
Past

September 5, 1989 - January 5, 1994

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

September 22, 1987 - July 25, 1989

MABON, NUGENT & CO.

BD
CRD#: 2617

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: 12/15/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/1/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/22/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/16/2000
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/21/1994
General Securities Principal Examination

Current Firm

SS
SPENCER-WINSTON SECURITIES CORPORATION
SPENCER-WINSTON SECURITIES CORPORATION

CRD#: 8300 / SEC#: , 8-24995

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

Main Address
45 West 47th Street Suite 402, New York, NY 10036-2825
Mailing Address
45 West 47th Street Suite 402, New York, NY 10036-2825
Phone number
(212) 840-2444
Established
New York since 04/30/1980
Firm type
Corporation
Fiscal year end
April
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GREENVEST GROUP LLCPARTNER
BRUNO, VINCENT MICHAELCCO1845833
BRUNO, VINCENT MICHAELPRESIDENT1845833
PATRIKIOS, BILLY MREGISTERED OPTIONS PRINCIPAL3132259
RANKEL, WILLIAM EDWINFINOP2074785

Disclosures

Regulatory Event2
Arbitration5

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

SPENCER-WINSTON SECURITIES CORPORATION

CRD#: 8300

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