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JD

James Depierro

LOOP CAPITAL MARKETS LLC
New York, NY 10005
Some features on this profile are disabled
CRD#: 1601308
JD

Professional summary

James Depierro, who also goes by James VIncent Depierro, is a registered financial professional currently at LOOP CAPITAL MARKETS LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1989. James has worked at 11 firms and has passed the Series 63, Series 72, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Vincent Depierro

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 Depierro'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

November 3, 2020 - Present

LOOP CAPITAL MARKETS LLC

Office #1: 88 Pine Street 25th Floor, New York, NY 10005
RIA
BD
CRD#: 43098
New York, NY
Past

January 2, 2013 - August 31, 2020

BB&T SECURITIES, LLC

BD
CRD#: 142785
NEW YORK, NY
Past

December 1, 2010 - January 2, 2013

SCOTT & STRINGFELLOW, LLC

BD
CRD#: 6255
NEW YORK, NY
Past

November 17, 2009 - October 7, 2010

JVB FINANCIAL GROUP, LLC

BD
CRD#: 104412
NEW YORK, NY
Past

January 2, 2009 - October 26, 2009

TD SECURITIES (USA) LLC

BD
CRD#: 18476
RAMSEY, NJ
Past

June 12, 2007 - January 14, 2009

TD WEALTH MANAGEMENT SERVICES INC.

BD
CRD#: 6940
RAMSEY, NJ
Past

September 27, 2005 - June 6, 2007

CAROLINA CAPITAL MARKETS, INC.

BD
CRD#: 38156
CHAPEL HILL, NC
Past

November 3, 2000 - September 23, 2002

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

October 16, 2000 - August 1, 2005

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

January 20, 1993 - October 16, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

January 30, 1991 - January 19, 1993

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

October 20, 1989 - January 25, 1991

JEFFERIES EXECUTION SERVICES, INC.

BD
CRD#: 867
NEW YORK, NY

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
New York
(11/3/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 11/8/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1989
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LC
LOOP CAPITAL MARKETS LLC
LOOP CAPITAL MARKETS L.L.C. | LOOP CAPITAL MARKETS LLC

CRD#: 43098 / SEC#: , 8-50140

Illinois
Registered Investment Advisory firm - SEC (4/4/2012 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
425 S. Financial Place Ste 2700, Chicago, IL 60605
Mailing Address
425 S. Financial Place Ste 2700, Chicago, IL 60605
Phone number
(312) 913-4900
Established
Delaware since 06/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
250

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
LOOP CAPITAL, LLCOWNER
BERKELEY, STEPHEN SIDNEYREGULATORY COUNSEL AND CCO5616433
LUPKIN, IRA ADAMCHIEF FINANCIAL OFFICER4463446
REYNOLDS, JAMES JR.CHIEF EXECUTIVE OFFICER1162337
SULLIVAN, ANTHONYCHIEF OPERATING OFFICER5995264

Disclosures

Regulatory Event8

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

LOOP CAPITAL MARKETS LLC

CRD#: 43098New York, NY 10005

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