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JU

Jean C. Urquiola

VALIDATE CAPITAL MARKETS
New York, NY 10022
Some features on this profile are disabled
CRD#: 1806619
JU

Professional summary

Jean Carol Urquiola is a registered financial professional currently at VALIDATE CAPITAL MARKETS, LLC located in New York, New York and LEAGUE CAPITAL MARKETS located in New York, New York.

Jean is registered as a RR (Registered Representative) and started their career in finance in 1988. Jean has worked at 9 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 6, Series 14, Series 51 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Jean Carol Urquiola'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

May 27, 2009 - Present

VALIDATE CAPITAL MARKETS, LLC

Office #1: 505 Park Avenue 14th Floor, New York, NY, 10022
BD
CRD#: 133371
New York, NY
Current

August 4, 2014 - Present

LEAGUE CAPITAL MARKETS

Office #1: 1345 Avenue Of The Americas 2nd Floor, New York, NY 10105
BD
CRD#: 170803
NEW YORK, NY
Past

January 21, 2015 - January 22, 2015

BONDCUBE INC.

BD
CRD#: 171341
WESTON, CT
Past

March 4, 2014 - August 22, 2022

YORK STOCKBROKERS, INC.

BD
CRD#: 102740
NEW YORK, NY
Past

June 15, 2009 - March 17, 2010

FDX CAPITAL LLC

BD
CRD#: 119302
NEW YORK, NY
Past

April 26, 2007 - May 18, 2007

LEEB BROKERAGE SERVICES, INC.

BD
CRD#: 46195
NEW YORK, NY
Past

September 14, 2006 - August 17, 2007

BELMONT PARTNERS SECURITIES INC.

BD
CRD#: 30189
WASHINGTON, VA
Past

August 21, 2006 - September 7, 2006

BELMONT PARTNERS SECURITIES INC.

BD
CRD#: 30189
WASHINGTON, VA
Past

November 5, 2004 - March 15, 2006

LEEB BROKERAGE SERVICES, INC.

BD
CRD#: 46195
NEW YORK, NY
Past

January 1, 1991 - July 30, 1994

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
Past

September 28, 1988 - January 10, 1989

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231

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
Connecticut
(5/22/2023)
RR
Florida
(8/3/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 8/26/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional 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: 11/4/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/27/1988
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 51
Date: 4/1/2008
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/12/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LC
LEAGUE CAPITAL MARKETS
FORT GHENT BROKERAGE LLC | LEAGUE CAPITAL MARKETS

CRD#: 170803 / SEC#: , 8-69432

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

Main Address
1345 Avenue Of The Americas 2nd Floor, New York, NY 10105
Mailing Address
1345 Avenue Of The Americas 2nd Floor, New York, NY 10105
Phone number
(212) 588-0580
Established
New York since 11/01/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (14 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LEAGUEMED ENTERPRISES, LLCOWNER
DAUSEND, DOROTHY THERESASUPERVISORY PRINCIPAL1326747
GALLAGHER, JOHN JOSEPH JRCEO3128509
MACK, ALEXANDER HERBERTFINOP4805607
MACK, DAVIDPRESIDENT2164969
URQUIOLA, JEAN CAROLCCO, VICE PRESIDENT1806619

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

LEAGUE CAPITAL MARKETS

CRD#: 170803New York, NY 10022

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