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JW

James B. Wolfe

NEWMARK SECURITIES
BOSTON, MA 02110
Some features on this profile are disabled
CRD#: 1422604
JW

Professional summary

James Barry Wolfe, who also goes by James Barry Wolfe Jr, is a registered financial professional currently at NEWMARK SECURITIES, LLC located in Boston, Massachusetts.

James is registered as a RR (Registered Representative) and started their career in finance in 2014. James has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Barry Wolfe Jr

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 Barry Wolfe's 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

April 8, 2021 - Present

NEWMARK SECURITIES, LLC

Office #1: 225 Franklin Street, Boston, MA 02110
BD
CRD#: 309193
BOSTON, MA
Past

August 15, 2018 - June 11, 2021

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

October 29, 2014 - September 1, 2016

MUFG AMERICAS CORPORATE ADVISORY, INC.

BD
CRD#: 10151
BOSTON, MA

State Registrations and Notice Filings

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

RR
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

RR
Georgia
(10/25/2024)
RR
Massachusetts
(7/15/2021)
RR
New York
(4/22/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 12/10/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/20/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 10/29/2014
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NEWMARK SECURITIES, LLC
NEWMARK SECURITIES LLC | NEWMARK SECURITIES, LLC

CRD#: 309193 / SEC#: , 8-70554

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

Main Address
125 Park Avenue, New York, NY 10017
Mailing Address
125 Park Avenue, New York, NY 10017
Phone number
(212) 372-2000
Established
Delaware since 04/17/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NEWMARK PARTNERS, L.P.SOLE MEMBER
DAVIS, JOSHUAEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY7761240
KUEHNEN, ERIC CHRISTOPHERCHIEF COMPLIANCE OFFICER4577416
PAULSON, KENNETH MICHAELCHIEF FINANCIAL OFFICER2862259
SMIGEL, STEPHEN JAREDCHIEF EXECUTIVE OFFICER AND PRINCIPAL OPERATIONS OFFICER2401258

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.

Company Information

NEWMARK SECURITIES, LLC

CRD#: 309193Boston, MA 02110

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