James J. Rosenkranz
Professional summary
James Jay Rosenkranz, who also goes by James John Rosenkranz, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1992. James has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Jay Rosenkranz's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 20, 2022 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 5 Hanover Sq. 12th Floor, New York, NY 10004July 19, 2016 - July 21, 2022
NATIONAL SECURITIES CORPORATION
October 12, 2005 - July 8, 2016
VIEWTRADE SECURITIES, INC.
December 11, 2003 - December 21, 2005
VIEWTRADE FINANCIAL
May 10, 2002 - December 31, 2003
VIEWTRADE SECURITIES, INC.
October 27, 2000 - June 5, 2002
CONTINENTAL BROKER-DEALER CORP.
August 3, 1995 - November 10, 2000
BARRON CHASE SECURITIES, INC.
May 16, 1995 - July 12, 1995
DONALD & CO. SECURITIES INC.
November 30, 1992 - August 9, 1994
HIBBARD BROWN & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/20/2022)
(7/20/2022)
(8/3/2022)
(7/20/2022)
(7/20/2022)
(7/22/2022)
(7/20/2022)
(7/20/2022)
(7/20/2022)
Exams
FINRA
Current Firm
ARETE WEALTH MANAGEMENT, LLC
CRD#: 44856 / SEC#: , 8-50854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARETE WEALTH INC | DIRECT OWNER | |
| BULLA, CHRISTIAN ALEXANDER | MUNICIPAL SECURITIES PRINCIPAL | 7067640 |
| CHUNG, UNBO | CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER | 6208569 |
| HOCK, DAVID CARL | CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP) | 2246268 |
| RAYNER, MICAH HARDING | REGISTERED OPTIONS PRINCIPAL | 6252596 |
| ROGERS, JOSHUA DEAN | CHIEF EXECUTIVE OFFICER | 3163818 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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