James M. Carrazza

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CRD#: 1315804

Professional summary

James Michael Carrazza was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, James had worked at 9 firms, which includes OLYMPUS SECURITIES LLC, WESTMINSTER SECURITIES CORPORATION, HOBBS MELVILLE SECURITIES CORP., STRASBOURGER PEARSON TULCIN WOLFF INCORPORATED, SPELMAN & CO. INC., SENTRA SECURITIES CORPORATION, MML INVESTORS SERVICES LLC, WS GRIFFITH SECURITIES INC., MUTUAL OF OMAHA INVESTOR SERVICES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

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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

February 1, 2002 - March 3, 2017

OLYMPUS SECURITIES, LLC

CRD#: 114050

MONTVILLE, NJ

Past

December 8, 2000 - March 10, 2004

WESTMINSTER SECURITIES CORPORATION

CRD#: 6105

NEW YORK, NY

Past

August 3, 1999 - December 8, 2000

HOBBS MELVILLE SECURITIES CORP.

CRD#: 40133

NEW YORK, NY

Past

April 22, 1998 - August 28, 1999

STRASBOURGER PEARSON TULCIN WOLFF INCORPORATED

CRD#: 5133

GARDEN CITY, NY

Past

April 21, 1997 - April 3, 1998

SPELMAN & CO., INC.

CRD#: 10232

PHOENIX, AZ

Past

March 23, 1993 - April 3, 1998

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

March 29, 1988 - March 24, 1993

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

December 17, 1985 - March 15, 1988

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

Past

October 31, 1984 - September 20, 1985

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

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

Series 63

Date: 10/24/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/3/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 9/20/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/14/1985

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/25/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/27/1994

General Securities Principal Examination

Current Firm

OLYMPUS SECURITIES, LLC

OLYMPUS SECURITIES, LLC | SHEEPS MEADOW SECURITIES, LLC

CRD#: 114050 / SEC#: , 8-53392

Terminated by SEC on 03/04/2017

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 05/16/2001

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
STORM ASSOCIATES, LLC	PARENT CO.
ANGELONE, JOHN PAUL	PRINCIPAL	2792191
CARRAZZA, JAMES MICHAEL	PRESIDENT, GSP, HEAD OF TRADING, CCO	1315804
GREENSTEIN, IVAN HUGH	FINOP	2626704
MANDELL, ANDREW JASON	PRINCIPAL	2194970

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

James M. Carrazza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WESTMINSTER SECURITIES CORPORATION

HOBBS MELVILLE SECURITIES CORP.

STRASBOURGER PEARSON TULCIN WOLFF INCORPORATED

SPELMAN & CO., INC.

SENTRA SECURITIES CORPORATION

MML INVESTORS SERVICES, LLC

WS GRIFFITH SECURITIES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/24/1984

SIE

Date: 3/3/2017

Series 55

Date: 9/20/2002

Series 7

Date: 12/14/1985

Series 6

Date: 10/25/1984

Series 24

Date: 5/27/1994

Current Firm

OLYMPUS SECURITIES, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

OLYMPUS SECURITIES, LLC

TRUST BUT VERIFY

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