AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JY

James M. Young

E&J SECURITIES
NEW YORK, NY 10038
Some features on this profile are disabled
CRD#: 1926621
JY

Professional summary

James Michael Young is a registered financial professional currently at E&J SECURITIES CORP. located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2000. James has worked at 4 firms and has passed the Series 19, SIE, Series 7A and Series 25 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 Michael Young'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®
None

Experience

Current

February 28, 2020 - Present

E&J SECURITIES CORP.

Office #1: C/o Accounting & Compliance International 199 Water Street 9th Fl, New York, NY, 10038
BD
CRD#: 37452
NEW YORK, NY
Past

January 8, 2009 - February 27, 2020

TD PRIME SERVICES LLC

BD
CRD#: 1914
NEW YORK, NY
Past

December 27, 2006 - January 7, 2009

BATTENKILL CAPITAL, INC.

BD
CRD#: 131548
MANCHESTER CENTER, VT
Past

October 1, 2000 - January 3, 2007

MCKEON BROTHERS, LLC

BD
CRD#: 42774
OYSTER BAY, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 19
Date: 6/21/2019
NYSE Floor Clerk - Equities Examination
General Industry/Product Exam
RR
SIE
Date: 3/25/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7A
Date: 4/25/2007
Floor Broker Representative Exam
General Industry/Product Exam
RR
Series 25
Date: 3/6/2000
NYSE Trading Assistant Examination
SRO Registrations
RR
New York Stock Exchange

Current Firm

ES
E&J SECURITIES CORP.
E&J SECURITIES CORP.

CRD#: 37452 / SEC#: , 8-47773

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
C/o Accounting & Compliance International 199 Water Street 9th Fl, New York, NY, 10038
Mailing Address
C/o Accounting & Compliance International 199 Water Street 9th Fl, New York, NY, 10038
Phone number
(212) 306-2510
Established
New York since 10/21/1994
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CURRAN, EDWARD MICHAELPRES/DIR/SECY/TREAS/CEO/CCO1782784
BELL, DUNCAN DAVIDSALES SUPERVISOR1486257
CHUN, YUENNAFINOP/COO2219603

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

E&J SECURITIES CORP.

CRD#: 37452New York, NY 10038

TRUST BUT VERIFY

Monitor James Young

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics