James E. Port
Professional summary
James Edward Port, who also goes by James E Port, is a registered financial professional currently at BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC located in Newark, New Jersey.
James is registered as a RR (Registered Representative) and started their career in finance in 1993. James has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 31, Series 55, Series 7, Series 9, Series 10, Series 4, Series 14, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Edward Port's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 10, 2013 - Present
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
Office #1: 2 Gateway Center 283-299 Market St., Newark, NJ 07102-5005Office #2: 300 Executive Drive Suite 1, Edgewood, NY 11717-8382April 19, 2007 - June 1, 2012
APEX CLEARING CORPORATION
May 20, 2003 - April 19, 2007
FIRST MONTAUK SECURITIES CORP.
February 26, 2001 - April 19, 2007
FIRST MONTAUK SECURITIES CORP.
March 3, 1997 - December 22, 2000
COLEMAN & COMPANY SECURITIES, INC.
February 20, 1996 - February 24, 1997
J.W. BARCLAY & CO., INC.
November 2, 1995 - February 9, 1996
PARAGON CAPITAL MARKETS, INC.
January 16, 1995 - September 19, 1995
LT LAWRENCE & CO., INC.
April 25, 1994 - January 30, 1995
PRUDENTIAL EQUITY GROUP, LLC
November 17, 1993 - May 2, 1994
GRUNTAL & CO., L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/22/2013)
(2/12/2013)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/3/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 4/30/1997
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
CRD#: 114212 / SEC#: , 8-53412
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROADRIDGE BPO HOLDING LLC | SOLE MEMBER | |
| ALEXANDER, MICHAEL JAY | CEO/PRESIDENT/ MANAGER ON THE BOARD OF MANAGERS | 1428753 |
| BEUTELSCHIES, WILL SAMUEL | DIRECTOR OF COMPLIANCE: AMLCO | 2779204 |
| CASS, ALBERT JOHN LLL | VICE PRESIDENT | 2182652 |
| DEONIER, CHRISTIAN WILLIAM | SENIOR VICE PRESIDENT | 2829240 |
| GIACALONE, THOMAS A. | PRINCIPAL OPERATING OFFICER / MANAGER ON THE BOARD OF MANAGERS | 2873774 |
| JUHL, SVETLANA | MANAGER ON THE BOARD OF MANAGERS | 6154375 |
| PERRY, CHRISTOPHER JOHN | MANAGER ON THE BOARD OF MANAGERS | 1841603 |
| PORT, JAMES EDWARD | CHIEF COMPLIANCE OFFICER | 2366427 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER / VP / TREASURER / FINOP | 1821188 |
Red Flags
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