James M. Guinee

SOUTH STREET SECURITIES LLC

New York, NY 10036

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CRD#: 2404815

Professional summary

James Michael Guinee is a registered financial professional currently at SOUTH STREET SECURITIES LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1994. James has worked at 15 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 James Michael Guinee's 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

November 20, 2024 - Present

SOUTH STREET SECURITIES LLC

Office #1: 1155 Sixth Ave 14th Floor, New York, NY 10036

CRD#: 125202

New York, NY

Past

February 4, 2019 - August 21, 2023

TD SECURITIES (USA) LLC

CRD#: 18476

NEW YORK, NY

Past

July 13, 2017 - December 10, 2018

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

July 15, 2015 - July 6, 2017

DAIWA CAPITAL MARKETS AMERICA INC.

CRD#: 1576

NEW YORK, NY

Past

November 14, 2013 - February 10, 2015

SG AMERICAS SECURITIES, LLC

CRD#: 128351

NEW YORK, NY

Past

February 5, 2013 - November 15, 2013

KGS-ALPHA CAPITAL MARKETS, L.P.

CRD#: 151705

NEW YORK, NY

Past

March 10, 2010 - January 15, 2013

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

May 27, 2009 - March 5, 2010

ICP SECURITIES LLC

CRD#: 133436

NEW YORK, NY

Past

June 6, 2005 - April 9, 2009

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

March 4, 2003 - June 1, 2005

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

January 3, 2003 - March 4, 2003

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

March 19, 2001 - January 3, 2003

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

December 8, 1997 - February 22, 2001

AUSTIN ATLANTIC CAPITAL INC.

CRD#: 43981

CORAL GABLES, FL

Past

March 26, 1997 - December 8, 1997

SHAY FINANCIAL SERVICES CO.

CRD#: 27215

IRVING, TX

Past

November 2, 1994 - June 8, 1995

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

State Registrations and Notice Filings

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

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

Alabama
(11/20/2024)

Alaska
(11/20/2024)

Arizona
(11/20/2024)

Arkansas
(11/20/2024)

California
(11/20/2024)

Colorado
(11/20/2024)

Connecticut
(11/20/2024)

Delaware
(11/20/2024)

District of Columbia
(11/20/2024)

Florida
(11/20/2024)

Georgia
(11/20/2024)

Hawaii
(11/20/2024)

Idaho
(11/20/2024)

Illinois
(11/20/2024)

Indiana
(11/20/2024)

Iowa
(11/20/2024)

Kansas
(11/20/2024)

Kentucky
(11/20/2024)

Louisiana
(11/20/2024)

Maine
(11/20/2024)

Maryland
(11/20/2024)

Massachusetts
(11/20/2024)

Michigan
(11/20/2024)

Minnesota
(11/20/2024)

Mississippi
(11/20/2024)

Missouri
(11/20/2024)

Montana
(11/20/2024)

Nebraska
(11/20/2024)

Nevada
(11/20/2024)

New Hampshire
(11/20/2024)

New Jersey
(11/20/2024)

New Mexico
(11/20/2024)

New York
(11/20/2024)

North Carolina
(11/20/2024)

North Dakota
(11/20/2024)

Ohio
(11/20/2024)

Oklahoma
(11/20/2024)

Oregon
(11/20/2024)

Pennsylvania
(11/20/2024)

Puerto Rico
(11/20/2024)

Rhode Island
(11/20/2024)

South Carolina
(11/20/2024)

South Dakota
(11/20/2024)

Tennessee
(11/20/2024)

Texas
(11/20/2024)

Utah
(11/20/2024)

Vermont
(11/20/2024)

Virgin Islands
(11/20/2024)

Virginia
(11/20/2024)

Washington
(11/20/2024)

West Virginia
(11/20/2024)

Wisconsin
(11/20/2024)

Wyoming
(11/20/2024)

Exams

State Security Law Exam

Series 63

Date: 3/21/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/12/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/1/1994

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SOUTH STREET SECURITIES LLC

CRD#: 125202 / SEC#: , 8-65770

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

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Contact information

Main Address

1155 Sixth Ave 14th Floor, New York, NY 10036

Mailing Address

1155 Sixth Ave 14th Floor, New York, NY 10036

Phone number

(212) 824-0738

Established

Delaware since 03/01/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
SOUTH STREET SECURITIES FUNDING LLC	OWNER
KELLY, JOHN EDWARD	CCO
LUBRANO, LEONARD G	CFO	1091164
PEREZ-VEGA, JOSE CARLOS	BOARD OF MANAGER	2209448
PUCCI, STEPHANIE	TRADING PRINCIPAL	2674481
SCHUIT, JASON EDWARD	PRESIDENT	2426827
TABACCHI, JAMES MICHAEL	CHIEF EXECUTIVE OFFICER/ BOARD OF MGERS	2355049

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

James M. Guinee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Michael Guinee's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD SECURITIES (USA) LLC

BNP PARIBAS SECURITIES CORP.

DAIWA CAPITAL MARKETS AMERICA INC.

SG AMERICAS SECURITIES, LLC

KGS-ALPHA CAPITAL MARKETS, L.P.

RBC CAPITAL MARKETS, LLC

ICP SECURITIES LLC

BARCLAYS CAPITAL INC.

J.P. MORGAN SECURITIES INC.

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

AUSTIN ATLANTIC CAPITAL INC.

SHAY FINANCIAL SERVICES CO.

PERSHING LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/21/1995

SIE

Date: 10/1/2018

Series 3

Date: 12/12/2013

Series 7

Date: 11/1/1994

FINRA

Current Firm

SOUTH STREET SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SOUTH STREET SECURITIES LLC

TRUST BUT VERIFY

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