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JJ

Jennifer J. James

BGC FINANCIAL, L.P.
New York, NY 10038
Some features on this profile are disabled
CRD#: 2377678
JJ

Professional summary

Jennifer Joan James, who also goes by Jennifer Joan Doyna, is a registered financial professional currently at BGC FINANCIAL, L.P. located in New York, New York and GFI SECURITIES LLC located in New York, New York.

Jennifer is registered as a RR (Registered Representative) and started their career in finance in 1993. Jennifer has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jennifer Joan Doyna

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jennifer Joan James's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 26, 2021 - Present

BGC FINANCIAL, L.P.

Office #1: 199 Water Street 19th Floor, New York, NY 10038
BD
CRD#: 19801
New York, NY
Current

May 7, 2021 - Present

GFI SECURITIES LLC

Office #1: 199 Water Street 19th Floor, New York, NY 10038
BD
CRD#: 19982
New York, NY
Past

March 1, 2007 - December 31, 2017

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

February 15, 2007 - November 26, 2008

MINT BROKERS

BD
CRD#: 13681
NEW YORK, NY
Past

March 19, 2001 - January 3, 2007

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
JERSEY CITY, NJ
Past

September 17, 1993 - March 28, 2001

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(4/20/2023)
RR
Connecticut
(7/11/2024)
RR
Florida
(1/12/2023)
RR
Georgia
(4/21/2023)
RR
Illinois
(4/20/2023)
RR
Minnesota
(3/15/2023)
RR
New York
(5/8/2021)
RR
North Carolina
(4/20/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 5/3/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/15/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/6/1996
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/5/1994
Registered Options Principal Examination
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

GS
GFI SECURITIES LLC
12TH STREET CAPITAL, A DIVISION OF GFI SECURITIES LLC | SUNRISE BROKERS, A DIVISION OF GFI SECURITIES LLC | SUNRISE A DIVISION OF GFI SECURITIES | LATIUM, A DIVISION OF GFI SECURITIES LLC | GFI SECURITIES LLC | GFI GROUP, INC. | G.F.I. GROUP, INC. | FENICS-PM, A DIVISION OF GFI SECURITIES LLC | CAVENTOR CAPITAL, A DIVISION OF GFI SECURITIES LLC. | AUREL PARTNERS A DIVISION OF GFI SECURITIES LLC

CRD#: 19982 / SEC#: , 8-43548

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
55 Water Street 10th Floor, New York, NY 10041
Mailing Address
55 Water Street 10th Floor, New York, NY 10041
Phone number
(212) 968-2032
Established
New York since 07/09/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GFINET INC.SOLE MEMBER
ABULARRAGE, JOHN JOSEPHCHIEF EXECUTIVE OFFICER3265633
ANZALONE, THOMAS JOSEPHCHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER1161513
HAUF, JASON WILLIAMSCHIEF FINANCIAL OFFICER4163331
LEWIS, THOMAS JOSEPHPRINCIPAL2684821
LYNCH, MARTINCHIEF OPERATING OFFICER5612726
SULFARO, MICHAEL CARLCHIEF COMPLIANCE OFFICER2483562

Disclosures

Regulatory Event30

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.

Company Information

GFI SECURITIES LLC

CRD#: 19982New York, NY 10038

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