James E. Stack
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 Emmett Stack, who also goes by James Stack, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 7 firms and has passed the SIE, Series 7, Series 21, Series 25, Series 14, Series 14A and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2017 - March 5, 2021
BRENDAN E. CRYAN AND COMPANY, L.L.C.
June 8, 2015 - March 10, 2017
J. STREICHER & CO. L.L.C.
July 2, 2012 - November 6, 2013
VIRTU AMERICAS LLC
December 20, 2010 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
February 27, 2006 - January 3, 2011
KELLOGG CAPITAL MARKETS, LLC
October 1, 2000 - February 21, 2006
BANC OF AMERICA SPECIALIST, INC.
August 14, 1997 - March 1, 1999
JPMSI
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 21
Date: 2/24/2000
NYSE Front Line Specialist ClerkSeries 25
Date: 8/17/1999
NYSE Trading Assistant ExaminationSeries 14A
Date: 4/20/2017
Compliance Official Specialist ExamCurrent Firm
BRENDAN E. CRYAN AND COMPANY, L.L.C.
CRD#: 33496 / SEC#: , 8-41526
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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