James K. Cerqueira
Professional summary
James Kennedy Cerqueira is a registered financial professional currently at IDB CAPITAL CORP. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1998. James has worked at 4 firms and has passed the Series 65, Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Kennedy Cerqueira's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 12, 2009 - Present
IDB CAPITAL CORP.
Office #1: 1114 Avenue Of The Americas, New York, NY 10036November 27, 2006 - June 2, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 27, 2006 - June 2, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 26, 2005 - November 20, 2006
UBS INTERNATIONAL INC.
September 26, 2005 - November 20, 2006
UBS INTERNATIONAL INC.
June 3, 2002 - September 27, 2005
UBS FINANCIAL SERVICES INC.
July 10, 1998 - September 27, 2005
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/12/2009)
(6/12/2009)
(6/12/2009)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/8/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
IDB CAPITAL CORP.
CRD#: 106032 / SEC#: , 8-53000
Contact information
FINRA licenses (29 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ISRAEL DISCOUNT BANK OF NEW YORK | SOLE SHAREHOLDER | |
| CASE, LESLIE KATHRYN | SECRETARY | 6058280 |
| CLANCY, PATRICIA ANNE | CHIEF OPERATING OFFICER, PRINCIPAL OPERATIONS OFFICER | 2753700 |
| FRAHER, NANCY ANN | DIRECTOR | 6132794 |
| GRANT, EDMOND F | DIRECTOR | 4058518 |
| KIM, EDWARD SANG | FINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER | 6702617 |
| ROBERTS, DANIEL G | DIRECTOR | 6986015 |
| SAVIO, KENNETH JOSEPH | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 1428851 |
| SAVIO, KENNETH JOSEPH | INTERIM CHAIRMAN OF THE BOARD | 1428851 |
| TREBLE, TIMOTHY | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 1699773 |
Disclosures
| Regulatory Event | 1 |
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