James R. Fardin
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 Robert Fardin, who also goes by Jim Fardin, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 10 firms and has passed the Series 63, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2010 - January 31, 2014
KOYOTE TRADING LLC
October 19, 2007 - April 29, 2008
SPECTRUM TRADING, LLC
August 4, 2005 - October 31, 2006
CENTURION SECURITIES L.L.C.
June 21, 2002 - March 12, 2004
DEUTSCHE BANK SECURITIES INC.
October 23, 1997 - June 13, 2002
DEUTSCHE IXE, LLC
February 25, 1997 - October 14, 1997
TD AMERITRADE, INC.
March 28, 1995 - February 28, 1997
GREEN LINE INVESTOR SERVICES (U.S.A.) INC.
December 14, 1994 - January 19, 1995
TD SECURITIES (USA) LLC
July 23, 1992 - June 28, 1994
IDS LIFE INSURANCE COMPANY
July 23, 1992 - June 28, 1994
AMERIPRISE FINANCIAL SERVICES, 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 55
Date: 9/10/1999
Limited Representative-Equity Trader ExamCurrent Firm
KOYOTE TRADING LLC
CRD#: 149672 / SEC#: , 8-68182
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KOYOTE CAPITAL GROUP LLC | OWNER | |
| KOCH, DAVID KENNETH | VICE PRESIDENT & SECRETARY, MEMBER | 2422912 |
| RISI, SALVATORE ANTHONY | CFO/FINOP | 1072513 |
| ROSEN, LUCAS GABRIEL | MEMBER | 2443280 |
| SCHOTTENFELD, RICHARD PAUL | MANAGING MEMBER | 1280443 |
| WADE, RICHARD JOSEPH JR | CHIEF COMPLIANCE OFFICER | 1455700 |
| WEISS, BRYAN EVAN | MEMBER | 4439851 |
| WEISS, RONALD MICHAEL | PRESIDENT, MEMBER | 462488 |
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.
