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JP

James Y. Park

Some features on this profile are disabled
CRD#: 1959097
JP

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Young Park was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1990. James had worked at 12 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 25, 2014 - May 18, 2015

H.C.WAINWRIGHT & CO., LLC

BD
CRD#: 375
NEW YORK, NY
Past

June 14, 2013 - February 21, 2014

BROOKLINE GROUP, LLC

BD
CRD#: 153587
NEW YORK CITY, NY
Past

July 29, 2011 - June 13, 2013

SUMMER STREET RESEARCH PARTNERS

BD
CRD#: 127142
NEW YORK, NY
Past

December 22, 2008 - July 8, 2011

MERRIMAN CAPITAL, INC.

BD
CRD#: 18296
NEW YORK, NY
Past

March 10, 2004 - December 2, 2008

RODMAN & RENSHAW, LLC

BD
CRD#: 16415
NEW YORK, NY
Past

July 28, 1999 - March 11, 2004

BREAN MURRAY & CO., INC.

BD
CRD#: 7541
NEW YORK, NY
Past

July 14, 1998 - May 27, 1999

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

August 1, 1997 - June 4, 1998

CREDIT AGRICOLE SECURITIES INC.

BD
CRD#: 24051
NEW YORK, NY
Past

December 24, 1996 - June 19, 1997

LOEWENBAUM & COMPANY INCORPORATED

BD
CRD#: 26560
AUSTIN, TX
Past

September 18, 1995 - February 14, 1996

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 9, 1993 - October 29, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

April 24, 1990 - February 18, 1993

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, 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

State Security Law Exam
RR
Series 63
Date: 5/29/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/18/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/7/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/21/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/11/2008
General Securities Principal Examination

Current Firm

H.C.WAINWRIGHT & CO., LLC
H.C.WAINWRIGHT & CO., LLC
H. C. WAINWRIGHT & CO. | WAINWRIGHT H C & CO INC | RODMAN & RENSHAW | H.C.WAINWRIGHT & CO., LLC | H.C. WAINWRIGHT & CO., INC. | H.C WAINWRIGHT & CO., LLC

CRD#: 375 / SEC#: , 8-43115

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

Main Address
430 Park Avenue 4th Floor, New York, NY 10022
Mailing Address
430 Park Avenue 4th Floor, New York, NY 10022
Phone number
(212) 356-0500
Established
Delaware since 04/10/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
HCWHC INCSHAREHOLDER
CERASO, MATTHEW PAULFINOP, PFO, POO6822268
SILVERA, EDWARD DAVIDCHIEF EXECUTIVE OFFICER AND CHIEF OPERATIONS OFFICER6216348
YANOW, JONATHAN TODDCHIEF COMPLIANCE OFFICER6516303

Disclosures

Regulatory Event16

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

H.C.WAINWRIGHT & CO., LLC

H.C.WAINWRIGHT & CO., LLC

CRD#: 375

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