Ryan J. James
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.
Ryan Justin James, who also goes by Justin Justin James, Ryan James, Ryan Justin James, was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 1993. Ryan had worked at 12 firms and has passed the Series 65, Series 63, SIE 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
December 15, 2023 - May 11, 2024
J.P. MORGAN SECURITIES LLC
December 1, 2022 - May 13, 2024
GLOBAL SHARES FINANCIAL SERVICES INC.
September 30, 2020 - June 14, 2022
MORGAN STANLEY
March 23, 2012 - September 30, 2020
SOLIUM FINANCIAL SERVICES LLC
September 27, 2006 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
November 15, 2002 - November 28, 2011
RBC CAPITAL MARKETS, LLC
November 15, 2002 - November 28, 2011
RBC CAPITAL MARKETS, LLC
April 15, 2002 - October 17, 2002
WELLS FARGO SECURITIES, LLC
January 10, 2002 - November 14, 2002
WELLS FARGO INVESTMENTS, LLC
December 12, 2001 - November 14, 2002
WELLS FARGO INVESTMENTS, LLC
September 1, 1998 - November 14, 2001
ROBERTSON STEPHENS, INC.
August 19, 1998 - September 1, 1998
BANCAMERICA SECURITIES, INC.
August 29, 1995 - August 10, 1998
PIPER SANDLER & CO.
January 15, 1993 - September 13, 1995
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
Current Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
