James A. Carlone
Professional summary
James Anthony Carlone, who also goes by James Carlone, Jim Carlone, is a registered financial professional currently at SCOTIA CAPITAL (USA) INC. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1991. James has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 14, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Anthony Carlone's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 23, 2025 - Present
SCOTIA CAPITAL (USA) INC.
Office #1: 250 Vesey Street, New York, NY 10281February 8, 2023 - June 11, 2025
CITIGROUP GLOBAL MARKETS INC.
March 16, 2022 - October 10, 2022
DWS DISTRIBUTORS, INC.
May 1, 2017 - April 20, 2020
JPMORGAN DISTRIBUTION SERVICES, INC.
December 7, 2006 - April 14, 2017
HSBC SECURITIES (USA) INC.
May 17, 2005 - April 14, 2017
HSBC SECURITIES (USA) INC.
August 1, 2003 - May 4, 2005
WALNUT STREET SECURITIES, INC.
November 22, 2000 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
January 18, 1996 - April 2, 1998
UBS FINANCIAL SERVICES INC.
October 29, 1991 - March 2, 1993
GUARDIAN INVESTOR SERVICES LLC
May 24, 1991 - October 11, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/24/2025)
Exams
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
SCOTIA CAPITAL (USA) INC.
CRD#: 2739 / SEC#: , 8-3716
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCOTIA HOLDINGS (USA) LLC | SOLE SHAREHOLDER | |
| ATTIA, MONCEF | BOARD MEMBER | 4852031 |
| DUSSEAU, SEAN MICHAEL | CHIEF OPERATING OFFICER & BOARD MEMBER | 6628832 |
| GALANTE, ANTHONY JAMES | CHIEF FINANCIAL OFFICER | 2168905 |
| GEORGALAS, ANDREAS ZANIS | CHIEF LEGAL OFFICER | 4769326 |
| GOHMAN, BENJAMIN E | BOARD MEMBER | 4835406 |
| KAUSHIK, KSHAMTA | CHAIR OF THE BOARD AND PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7523252 |
| KHAN, ARIF KAMAL | CHIEF COMPLIANCE OFFICER | 5011278 |
| NATHANSON, GARY | BOARD MEMBER | 4825746 |
| PATEL, HEMANG | CHIEF OPERATIONS OFFICER | 8032984 |
| WANG, ELSA YI-HUI | BOARD MEMBER | 5984605 |
| WILSON, MARC-ANDRE | BOARD MEMBER | 6455732 |
Disclosures
| Regulatory Event | 9 |
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.
