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JR

James J. Ramp

PRIME EXECUTIONS
New York, NY 10005
Some features on this profile are disabled
CRD#: 1884355
JR

Professional summary

James Joseph Ramp is a registered financial professional currently at PRIME EXECUTIONS, 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 15 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 10, Series 9 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 James Joseph Ramp'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

July 21, 2025 - Present

PRIME EXECUTIONS, INC.

Office #1: 40 Wall Street - 58th Floor, New York, NY 10005
BD
CRD#: 32889
New York, NY
Past

July 1, 2021 - July 18, 2025

ROSENBLATT SECURITIES INC.

BD
CRD#: 18377
NEW YORK, NY
Past

February 24, 2016 - April 7, 2021

BERENBERG CAPITAL MARKETS LLC

BD
CRD#: 156757
NEW YORK, NY
Past

November 17, 2015 - February 18, 2016

STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS

BD
CRD#: 149326
NEW YORK, NY
Past

March 20, 2014 - June 30, 2015

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

April 25, 2012 - January 31, 2014

NORTHLAND SECURITIES, INC.

BD
CRD#: 40258
NEW YORK, NY
Past

September 26, 2011 - January 12, 2012

WJB CAPITAL GROUP, INC.

BD
CRD#: 37334
NEW YORK, NY
Past

May 5, 2009 - July 18, 2011

BOENNING & SCATTERGOOD, INC.

BD
CRD#: 100
NEW YORK, NY
Past

February 7, 2001 - January 16, 2009

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
BALA CYNWYD, PA
Past

June 18, 1998 - December 31, 2000

PREFERREDTRADE, INC.

BD
CRD#: 10993
SAN FRANCISCO, CA
Past

May 19, 1997 - April 30, 1998

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
NEW YORK, NY
Past

June 22, 1993 - April 25, 1997

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
NEW YORK, NY
Past

May 10, 1991 - May 17, 1993

ROTHSCHILD & CO US INC.

BD
CRD#: 2910
NEW YORK, NY
Past

August 9, 1989 - October 11, 1990

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

November 23, 1988 - September 7, 1989

BUTCHER & SINGER INC.

BD
CRD#: 6517

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
(7/21/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 12/16/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/3/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/6/2000
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/11/1994
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

PE
PRIME EXECUTIONS, INC.
FREEDOM CAPITAL MARKETS | SILVERMAN BROTHERS, INC. | PRIME EXECUTIONS, INC. | FREEDOM STRATEGIC SOLUTIONS

CRD#: 32889 / SEC#: , 8-43985

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

Main Address
40 Wall Street - 58th Floor, New York, NY 10005
Mailing Address
40 Wall Street - 58th Floor, New York, NY 10005
Phone number
(212) 980-4400
Established
Delaware since 11/12/1987
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (36 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#
FREEDOM HOLDING CORP.HOLDING COMPANY
AGUIAR, ALBERTINTERIM CEO2947566
CARON, WAYNE ROGERCCO1422911
CHASKIN, DAVID RCFO, FINOP, POO, PFO5306238

Disclosures

Regulatory Event2

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

PRIME EXECUTIONS, INC.

CRD#: 32889New York, NY 10005

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