JH
James M. Harasimowicz
KEEFE, BRUYETTE & WOODS
New York, NY 10019
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CRD#: 1799088
JH
Professional summary
James Murphy Harasimowicz, who also goes by Jim Harasimowicz, is a registered financial professional currently at KEEFE, BRUYETTE & WOODS, INC. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1988. James has worked at 4 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jim Harasimowicz
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.
CRS (Client Relationship Summary) - BD
Click below to view James Murphy Harasimowicz'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®
NoneExperience
Current
December 23, 2011 - Present
KEEFE, BRUYETTE & WOODS, INC.
Office #1: 787 7th Ave. 4th & 5th Floors, New York, NY 10019Office #2: One North Wacker Drive, Chicago, IL 60606BD
CRD#: 481
New York, NY
Past
October 4, 2004 - January 12, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
September 1, 1998 - July 1, 2004
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
April 19, 1996 - September 1, 1998
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
Past
February 23, 1988 - April 8, 1996
KEEFE, BRUYETTE & WOODS, INC.
BD
CRD#: 481
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
Alabama(5/8/2014)
RR
Alaska(5/7/2014)
RR
Arizona(5/15/2014)
RR
Arkansas(5/6/2014)
RR
California(5/6/2014)
RR
Colorado(5/7/2014)
RR
Connecticut(5/6/2014)
RR
Delaware(5/7/2014)
RR
District of Columbia(5/7/2014)
RR
Florida(5/8/2014)
RR
Georgia(5/6/2014)
RR
Hawaii(5/6/2014)
RR
Idaho(5/6/2014)
RR
Illinois(1/3/2012)
RR
Indiana(5/14/2014)
RR
Iowa(5/6/2014)
RR
Kansas(5/8/2014)
RR
Kentucky(5/7/2014)
RR
Louisiana(5/8/2014)
RR
Maine(5/12/2014)
RR
Maryland(5/7/2014)
RR
Massachusetts(5/8/2014)
RR
Michigan(5/7/2014)
RR
Minnesota(5/15/2014)
RR
Mississippi(5/28/2014)
RR
Missouri(5/6/2014)
RR
Montana(5/6/2014)
RR
Nebraska(5/6/2014)
RR
Nevada(5/20/2014)
RR
New Hampshire(5/6/2014)
RR
New Jersey(5/9/2014)
RR
New Mexico(5/6/2014)
RR
New York(1/20/2012)
RR
North Carolina(5/6/2014)
RR
North Dakota(5/9/2014)
RR
Ohio(5/6/2014)
RR
Oklahoma(5/8/2014)
RR
Oregon(5/6/2014)
RR
Pennsylvania(5/7/2014)
RR
Puerto Rico(5/13/2014)
RR
Rhode Island(5/6/2014)
RR
South Carolina(5/8/2014)
RR
South Dakota(5/9/2014)
RR
Tennessee(5/7/2014)
RR
Texas(5/21/2014)
RR
Utah(5/7/2014)
RR
Vermont(5/7/2014)
RR
Virginia(5/6/2014)
RR
Washington(5/7/2014)
RR
West Virginia(5/21/2014)
RR
Wisconsin(5/6/2014)
RR
Wyoming(5/6/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KEEFE, BRUYETTE & WOODS, INC.
KEEFE, BRUYETTE & WOODS, INC.
CRD#: 481 / SEC#: , 8-10888
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
787 7th Avenue, New York, NY 10019
Mailing Address
787 7th Avenue 4th Floor, New York, NY 10019
Phone number
(212) 887-7777
Established
New York since 06/11/1962
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KBW, LLC | LIMITED LIABILITTY CORPORATION | |
| ANDERSON, SCOTT RANDALL | DIRECTOR | 2154345 |
| BERRY, JOSEPH SCOTT | DIRECTOR | 2868513 |
| DAVIS, ERICKSON P | DIRECTOR | 4974063 |
| FISHER, MARK | GENERAL COUNSEL | 4970942 |
| GRANT, ROBERT J | DIRECTOR | 4861012 |
| JOHNSTONE, MARY | CHIEF COMPLIANCE OFFICER | 1170408 |
| KELLEY, MATTHEW | DIRECTOR | 5330646 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| MICHAUD, THOMAS BEAULIEU | CHIEF EXECUTIVE OFFICER, CHAIRMAN AND PRESIDENT | 1672278 |
| SMITH, RICHARD WILLIAM | PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 1333488 |
| WIRTH, PETER JOHN | DIRECTOR | 1623159 |
Disclosures
| Regulatory Event | 17 |
| Bond | 1 |
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.
