James V. Rego
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 Vincent Rego was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 14 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2009 - April 27, 2020
RONIN CAPITAL, LLC
January 2, 2009 - February 27, 2009
INTEGRAL DERIVATIVES, LLC
January 25, 2007 - January 12, 2009
AGS SPECIALISTS II, LLC
January 8, 2007 - February 8, 2007
AGS SPECIALISTS LLC
April 24, 2006 - August 7, 2006
SCHOTTENFELD GROUP LLC
February 13, 2004 - November 1, 2005
KELLOGG CAPITAL GROUP LLC
November 12, 2003 - November 13, 2003
KELLOGG CAPITAL GROUP LLC
April 11, 2002 - June 28, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 22, 1998 - April 11, 2002
HERZOG, HEINE, GEDULD, LLC
April 8, 1996 - March 31, 1998
PERSHING ADVISOR SOLUTIONS LLC
October 14, 1987 - May 6, 1989
J.P. MORGAN SECURITIES LLC
August 13, 1985 - January 13, 1987
MORGAN STANLEY DW INC.
October 5, 1984 - August 20, 1985
PHILIPS, APPEL & WALDEN, INC.
July 12, 1984 - September 5, 1984
CHESLEY AND DUNN, INC.
June 20, 1984 - June 7, 1984
FIRST INTERWEST SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 2/27/1999
Limited Representative-Equity Trader ExamCurrent Firm
RONIN CAPITAL, LLC
CRD#: 118428 / SEC#: , 8-53655
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ZEN HOLDINGS, LLC | MEMBER | |
| FAIRWAY TRADING, LLC | MEMBER | |
| STAFFORD, JOHN SPRINGS III | CHIEF EXECUTIVE OFFICER | 2366359 |
| ANSATZ HOLDINGS LLC | MEMBER | |
| BURDA, AGNIESZKA | CHIEF COMPLIANCE OFFICER | 4832368 |
| CHERVITZ, KERI S | COMPLIANCE MANAGER | 2875647 |
| DAI, ERIC | CHIEF OPERATING OFFICER | 5880944 |
| GALIN, JONATHAN BRETT | CHIEF RISK OFFICER | 1597276 |
| HUERTA, KELLY JO | FINANCIAL AND OPERATION PRINCIPAL | 4889908 |
| POOLER, ROBERT EDWARD JR | CHIEF FINANCIAL OFFICER | 2817263 |
| WOLO CAPITAL, LLC | MEMBER |
Disclosures
| Regulatory Event | 26 |
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.
