James F. Kissane
Professional summary
James Francis Kissane is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1989. James has worked at 8 firms and has passed the Series 63, SIE, Series 79, Series 86, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Francis Kissane's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 6, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: 22 Vanderbilt Avenue 20th Floor, New York, NY 10017January 26, 2015 - April 10, 2024
COWEN AND COMPANY
December 4, 2012 - July 28, 2014
STONE KEY SECURITIES LLC
November 23, 2011 - December 14, 2012
CREDIT SUISSE SECURITIES (USA) LLC
January 2, 2009 - November 23, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 11, 2008 - January 2, 2009
BANC OF AMERICA SECURITIES LLC
March 4, 1997 - June 16, 2008
J.P. MORGAN SECURITIES LLC
January 24, 1989 - January 30, 1997
SALOMON BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/23/2024)
Exams
FINRA
Nasdaq Stock Market
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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