James G. Ryan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Gerard Ryan, who also goes by James Gerard Ryam, Jim Ryan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1998. James had worked at 3 firms and has passed the SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2013 - February 28, 2014
OCTEG, LLC
July 2, 2012 - March 31, 2016
VIRTU AMERICAS LLC
November 20, 1998 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 62
Date: 11/13/1998
Corporate Securities Limited Representative ExaminationCurrent Firm
OCTEG, LLC
CRD#: 117429 / SEC#: , 8-53598
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
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.
