James A. Pavela
Professional summary
James Andrew Pavela JR is a registered financial professional currently at GALLATIN CAPITAL LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1984. James has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Andrew Pavela JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 9, 2015 - Present
GALLATIN CAPITAL LLC
Office #1: 444 Madison Avenue 29th Floor, New York, NY 10022November 7, 1994 - June 20, 2014
CITIGROUP GLOBAL MARKETS INC.
June 21, 1993 - October 31, 1994
FIRST TRUST PORTFOLIOS L.P.
April 3, 1992 - June 8, 1993
MESIROW FINANCIAL, INC.
July 1, 1991 - April 6, 1992
CLAYTON BROWN & ASSOCIATES, INC.
November 21, 1984 - May 30, 1991
INVESCO CAPITAL 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
(1/7/2022)
(11/19/2019)
(12/20/2024)
(1/6/2020)
(1/6/2021)
(8/25/2023)
(10/9/2015)
(10/9/2015)
(10/9/2015)
(10/9/2015)
(6/7/2017)
(7/6/2023)
(11/19/2019)
(9/12/2023)
(1/6/2016)
(1/4/2017)
(6/29/2023)
(11/19/2019)
Exams
FINRA
Current Firm
GALLATIN CAPITAL LLC
CRD#: 124738 / SEC#: , 8-65718
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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