James D. Besaw

GENTRUST

New York, NY 10022

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CRD#: 2272546

Professional summary

James Dwight Besaw is a registered financial advisor currently at GENTRUST located in New York, New York and OLD CITY SECURITIES LLC located in New York, New York.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. James has worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 30, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

I AM A PRINCIPAL OF GENTRUST, LLC AND CATENARY ASSET MANAGEMENT, LLC (REGISTERED INVESTMENT ADVISERS). THE ADDRESS IS 1450 BRICKELL AVENUE, SUITE 3050 MIAMI, FL 33131 WE PROVIDE WEALTH MANAGEMENT SERVICES TO HIGH NET WORTH INDIVIDUALS. I AM THE CIO AND AM IN CHARGE OF INVESTMENT DECISIONS. I STARTED AT GENTRUST IN 12/2011 AND WORK 200HR/MONTH ON THE BUSINESS. CATENARY IS AN AFFILIATE OF GENTRUST (THROUGH COMMON OWNERSHIP) AND FOCUSES ON ALTERNATIVE INVESTMENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Dwight Besaw'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

August 3, 2021 - Present

GENTRUST

Office #1: 900 Third Avenue 35th Floor, New York, NY, 10022

RIA

CRD#: 158369

New York, NY

Current

September 11, 2015 - Present

OLD CITY SECURITIES LLC

Office #1: 589 Fifth Avenue 17th Floor, New York, NY, 10017

CRD#: 171910

New York, NY

Past

July 24, 2012 - September 8, 2015

J.H. DARBIE & CO., INC.

CRD#: 43520

NEW YORK, NY

Past

May 26, 2006 - March 9, 2009

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

September 24, 2002 - December 8, 2004

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GENTRUST

GENTRUST | GENTRUST, LLC | GENTRUST WEALTH MANAGEMENT, LLC

CRD#: 158369 / SEC#: 801-72707

RIA

Registered Investment Advisory firm - (10/5/2011 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Florida
(1/12/2016)

New York
(10/2/2015)

IAR

New York
(8/3/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/7/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/18/2015

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/19/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 30

Date: 6/4/2015

NFA Branch Manager Examination

Principal/Supervisory Exam

Series 4

Date: 1/18/2008

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/12/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GENTRUST

GENTRUST | GENTRUST, LLC | GENTRUST WEALTH MANAGEMENT, LLC

CRD#: 158369 / SEC#: 801-72707

RIA

Registered Investment Advisory firm - (10/5/2011 Approved)

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Contact information

Main Address

1450 Brickell Avenue Suite 3050, Miami, FL 33131

Mailing Address

Phone number

(305) 677-6688

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GENTRUST PART 2A BROCHURE MARCH 2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,667
AUM (Assets Under Management)	$ 4,460,903,724

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/28/2025	Cover Page	Report
08/26/2024	Cover Page	Report
11/27/2023	Cover Page	Report
08/25/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

James D. Besaw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Dwight Besaw's CRS (Customer Relationship Summary).

Certified licenses

Experience

OLD CITY SECURITIES LLC

J.H. DARBIE & CO., INC.

BARCLAYS CAPITAL INC.

J.P. MORGAN SECURITIES INC.

Primary Firm SEC Registration

GENTRUST

State Registrations and Notice Filings

Exams

Series 63

Date: 8/7/2012

SIE

Date: 10/1/2018

Series 3

Date: 5/18/2015

Series 7

Date: 9/19/2002

Series 30

Date: 6/4/2015

Series 4

Date: 1/18/2008

Series 24

Date: 9/12/2006

FINRA

Current Firm

GENTRUST

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

GENTRUST

TRUST BUT VERIFY

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