James H. Muller
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 Henry Muller, who also goes by James H Muller, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2021 - February 25, 2025
REDI GLOBAL TECHNOLOGIES LLC
March 21, 2016 - October 31, 2017
ZANBATO SECURITIES LLC
January 5, 2016 - March 24, 2016
INTE SECURITIES LLC
February 21, 2012 - October 4, 2012
WEEDEN & CO.L.P.
August 17, 2009 - August 3, 2011
VIRTU ALTERNET SECURITIES LLC
September 20, 1997 - August 3, 2011
VIRTU ITG LLC
August 5, 1996 - August 1, 1997
NATIONAL FINANCIAL SERVICES LLC
September 4, 1991 - June 29, 1992
INVEMED ASSOCIATES LLC
August 20, 1985 - September 1, 1989
CITIGROUP GLOBAL MARKETS INC.
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: 10/26/2001
Limited Representative-Equity Trader ExamCurrent Firm
REDI GLOBAL TECHNOLOGIES LLC
CRD#: 41924 / SEC#: , 8-49673
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REFINITIV US LLC | OWNER | |
| BALTOVSKI, ALEXANDER NMN | FINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO | 2350828 |
| CUTLER, SETH | DIRECTOR | 2594208 |
| IAMSCICOV WEIGL, KATARINA | CHIEF COMPLIANCE OFFICER AND SECRETARY | 7893210 |
| MALONEY, MICHAEL G | DIRECTOR, CEO, MANAGING PRINCIPAL | 5728423 |
| SIBLEY, JOHN HOLDEN | DIRECTOR | 5781488 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
