James R. Dileva
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 Ralph Dileva was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2016 - March 23, 2022
WALLACHBETH CAPITAL LLC
July 31, 2014 - September 21, 2016
ELEVATION, LLC
September 16, 2011 - July 7, 2014
COWEN AND COMPANY
April 11, 2008 - September 23, 2011
RBC CAPITAL MARKETS, LLC
January 14, 2008 - April 10, 2008
OPPENHEIMER & CO. INC.
June 17, 1997 - January 14, 2008
CIBC WORLD MARKETS CORP.
February 28, 1996 - June 3, 1997
LYNCH, JONES & RYAN LLC
March 23, 1993 - October 16, 1995
REPUBLIC NEW YORK SECURITIES CORPORATION
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: 4/3/2000
Limited Representative-Equity Trader ExamCurrent Firm
WALLACHBETH CAPITAL LLC
CRD#: 147853 / SEC#: , 8-67936
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
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.
