James C. Bossert
Professional summary
James Christopher Bossert, who also goes by James C Bossert, is a registered financial professional currently at BTIG, LLC located in Red Bank, New Jersey.
James is registered as a RR (Registered Representative) and started their career in finance in 1992. James has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Christopher Bossert's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 24, 2014 - Present
BTIG, LLC
Office #1: 34 Broad Street 2nd Floor, Red Bank, NJ 07701January 1, 1994 - September 10, 2014
COWEN EXECUTION SERVICES LLC
February 28, 1992 - January 1, 1994
EXECUTION SERVICES INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/24/2014)
(9/24/2014)
(9/29/2014)
(9/29/2014)
(9/24/2014)
(9/24/2014)
(3/3/2017)
(9/24/2014)
(2/10/2015)
(9/24/2014)
(9/24/2014)
(10/11/2024)
(9/24/2014)
(9/29/2014)
(2/10/2015)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/24/1999
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 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.
