James F. Dresch

TIGRESS FINANCIAL PARTNERS

New York, NY 10022

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CRD#: 1302751

Professional summary

James Francis Dresch SR, who also goes by James F Dresch, Jimmy Dresch, is a registered financial professional currently at TIGRESS FINANCIAL 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 10 firms and has passed the Series 63, Series 57TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James F Dresch | Jimmy Dresch

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 Francis Dresch SR'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

September 1, 2021 - Present

TIGRESS FINANCIAL PARTNERS, LLC

Office #1: 410 Park Avenue 12th Floor, New York, NY 10022

RIA

CRD#: 154717

New York, NY

Past

February 29, 2016 - September 14, 2021

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

New York, NY

Past

March 27, 2013 - February 25, 2016

TJM INVESTMENTS, LLC

CRD#: 46300

CHICAGO, IL

Past

March 14, 2011 - April 5, 2013

MND PARTNERS, INC.

CRD#: 131833

NEW YORK, NY

Past

January 5, 2011 - March 24, 2011

LOMBARDI & CO., INC.

CRD#: 44810

NEW YORK, NY

Past

August 18, 2003 - December 31, 2010

KELLOGG PARTNERS INSTITUTIONAL SERVICES LLC

CRD#: 126935

NEW YORK, NY

Past

June 14, 2001 - August 18, 2003

KV EXECUTION SERVICES LLC

CRD#: 42093

NEW YORK, NY

Past

March 16, 1995 - April 9, 1997

TIJA MANAGEMENT, INC.

CRD#: 11069

NEW YORK, NY

Past

April 23, 1993 - August 5, 1996

FIRST OPTIONS OF CHICAGO, INC.

CRD#: 13822

CHICAGO, IL

Past

April 7, 1992 - April 8, 1993

LABRANCHE FINANCIAL SERVICES, LLC

CRD#: 7432

NEW YORK, NY

State Registrations and Notice Filings

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

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

Florida
(8/3/2023)

New York
(9/1/2021)

Exams

State Security Law Exam

Series 63

Date: 5/18/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/1/2001

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

New York Stock Exchange

Current Firm

TIGRESS FINANCIAL PARTNERS, LLC

TIGRESS FINANCIAL PARTNERS LLC | TIGRESS FINANCIAL PARTNERS, LLC

CRD#: 154717 / SEC#: 801-112815, 8-68671

RIA

Registered Investment Advisory firm - SEC (2/21/2024 Terminated)

Florida

Registered Investment Advisory firm - SEC (7/2/2025 Approved)

New York

Registered Investment Advisory firm - SEC (4/27/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (11/15/2023 Conditional Restricted)

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

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

410 Park Avenue 12th Floor, New York, NY 10022

Mailing Address

410 Park Avenue 12th Floor, New York, NY 10022

Phone number

(212) 430-8750

Established

Delaware since 05/26/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (35 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
TIGRESS HOLDINGS LLC	MAJORITY OWNER
CHEN, CHIASHIN NMN	CHIEF COMPLIANCE OFFICER	2992660
DIBARTOLO, CYNTHIA DENISE	CHIEF EXECUTIVE OFFICER	2413494
MARRONE, MICHAEL THOMAS	PRINCIPAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER/FINOP	4859949

Regulatory assets under management

Total Number of Accounts	17
AUM (Assets Under Management)	$ 11,558,041

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

James F. Dresch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Francis Dresch SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

TULLETT PREBON FINANCIAL SERVICES LLC

TJM INVESTMENTS, LLC

MND PARTNERS, INC.

LOMBARDI & CO., INC.

KELLOGG PARTNERS INSTITUTIONAL SERVICES LLC

KV EXECUTION SERVICES LLC

TIJA MANAGEMENT, INC.

FIRST OPTIONS OF CHICAGO, INC.

LABRANCHE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/18/2002

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/1/2001

FINRA

NYSE American LLC

New York Stock Exchange

Current Firm

TIGRESS FINANCIAL PARTNERS, LLC

Contact information

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

TIGRESS FINANCIAL PARTNERS, LLC

TRUST BUT VERIFY

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