James S. Patricelli
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 Steven Patricelli, who also goes by Jim Steven Patricelli, Jim Patricelli, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 7 firms and has passed the Series 65, Series 63, Series 56 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2014 - December 31, 2017
LAKEVIEW CAPITAL ADVISORS
January 10, 2013 - July 11, 2014
G-2 TRADING,LLC
September 29, 1999 - September 18, 2001
DEUTSCHE BANK SECURITIES INC.
April 6, 1998 - October 28, 1999
RBC CAPITAL MARKETS, LLC
November 22, 1996 - April 6, 1998
WESSELS, ARNOLD & HENDERSON, L.L.C.
May 9, 1996 - December 3, 1996
CANACCORD GENUITY LLC
January 18, 1993 - January 11, 1996
VOLPE BROWN WHELAN & COMPANY, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 56
Date: 1/9/2013
Proprietary Trader Qualification ExaminationCurrent Firm
LAKEVIEW CAPITAL ADVISORS
CRD#: 169246 / SEC#:
Contact information
Red Flags
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