James G. Ross
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 Gardner Ross was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2014 - October 4, 2022
CODA MARKETS, INC.
March 7, 2012 - June 17, 2013
AX TRADING, LLC
October 20, 2004 - October 19, 2005
SARATOGA CAPITAL MARKETS
January 21, 2003 - January 28, 2005
BURLINGTON CAPITAL MARKETS INC.
August 1, 2000 - January 14, 2003
INSTINET, LLC
April 24, 1990 - August 1, 2000
REUTERS C CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 3/20/2000
Limited Representative-Equity Trader ExamCurrent Firm
CODA MARKETS, INC.
CRD#: 36187 / SEC#: , 8-47077
Contact information
FINRA licenses (5 States and Territories)
Documents
Disclosures
| Regulatory Event | 15 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
