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JM

James J. Mcshane

KBD SECURITIES
New Yoyk, NY 10016
Some features on this profile are disabled
CRD#: 2133758
JM

Professional summary

James Joseph Mcshane is a registered financial professional currently at KBD SECURITIES, LLC located in New Yoyk, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1992. James has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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 Joseph Mcshane's CRS (Customer Relationship Summary).
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

July 9, 2015 - Present

KBD SECURITIES, LLC

Office #1: 470 Park Avenue South, New Yoyk, NY 10016Office #2: 470 Park Avenue South 8th Floor South, New York, NY 10016
BD
CRD#: 104110
New Yoyk, NY
Past

May 19, 2014 - June 18, 2015

INNOVATION PARTNERS LLC

RIA
CRD#: 146344
NEEDHAM, MA
Past

August 20, 2012 - June 18, 2015

INNOVATION PARTNERS LLC

BD
CRD#: 146344
CHARLOTTE, NC
Past

December 16, 2011 - August 9, 2012

BIC DISTRIBUTORS, LLC

BD
CRD#: 152860
PHOENIX, AZ
Past

July 6, 2011 - February 28, 2012

EDGARTOWN ADVISORS LLC

RIA
CRD#: 153629
BOSTON, MA
Past

March 8, 2011 - November 15, 2011

CAPITOL SECURITIES MANAGEMENT, INC.

RIA
CRD#: 14169
NEEDHAM, MA
Past

March 4, 2011 - November 15, 2011

CAPITOL SECURITIES & ASSOCIATES, INC.

BD
CRD#: 7278
GLEN ALLEN, VA
Past

April 8, 2009 - January 3, 2011

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT
Past

May 9, 2007 - April 1, 2009

KBD SECURITIES, LLC

BD
CRD#: 104110
NEW YORK, NY
Past

October 22, 1996 - April 30, 2007

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
JERSEY CITY, NJ
Past

September 15, 1993 - October 28, 1996

NATIXIS DISTRIBUTION, LLC

BD
CRD#: 34754
BOSTON, MA
Past

May 14, 1992 - September 15, 1993

TNE INVESTMENT SERVICES CORPORATION

BD
CRD#: 14560

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(7/9/2015)
RR
New York
(7/9/2015)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/13/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/9/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/16/1992
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

KS
KBD SECURITIES, LLC
KBD SECURITIES, LLC

CRD#: 104110 / SEC#: , 8-52591

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

Main Address
470 Park Avenue South 8th Floor South, New York, NY 10016
Mailing Address
470 Park Avenue South 8th Floor South, New York, NY 10016
Phone number
(914) 703-6904
Established
New York since 03/23/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 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#
HORIZON KINETICS, LLCPARENT COMPANY
BELL, CHRISTOPHER DUNCANCEO, CFO, DESIGNATED PRINCIPAL, FINOP1479836
DOYLE, JAMES GANNONCHIEF COMPLIANCE OFFICER & DESIGNATED PRINCIPAL4189586
KESSLEN, JAY HARRISGENERAL COUNSEL, SVP, AML OFFICER4335392
WILLIAMS, ALUN LOPERATIONS PROFESSIONAL4331633

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

KBD SECURITIES, LLC

CRD#: 104110New Yoyk, NY 10016

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