James F. Woods
Professional summary
James F Woods, who also goes by James F. Woods, James F Woods Jr., Jay Woods, is a registered financial professional currently at PRIME EXECUTIONS, INC. 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 6 firms and has passed the Series 63, Series 57TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James F Woods's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 3, 2023 - Present
PRIME EXECUTIONS, INC.
Office #1: 40 Wall Street - 58th Floor, New York, NY 10005March 30, 2021 - February 17, 2023
DRIVEWEALTH INSTITUTIONAL LLC
August 22, 2014 - November 24, 2020
IMC FINANCIAL MARKETS
November 14, 2011 - August 25, 2014
GOLDMAN SACHS & CO. LLC
May 18, 2009 - November 14, 2011
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
November 25, 1998 - November 14, 2011
REDI GLOBAL TECHNOLOGIES LLC
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 57TO
Date: 7/29/2022
Securities Trader ExamFINRA
NYSE American LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
PRIME EXECUTIONS, INC.
CRD#: 32889 / SEC#: , 8-43985
Contact information
FINRA licenses (36 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
