James M. Laux

LUCID CAPITAL MARKETS

New York, NY 10006

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CRD#: 2419661

Professional summary

James Michael Laux, who also goes by Jay Laux, is a registered financial professional currently at LUCID CAPITAL MARKETS, LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2000. James has worked at 7 firms and has passed the Series 63, Series 57TO, Series 7TO, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jay Laux

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 Laux'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

August 27, 2025 - Present

LUCID CAPITAL MARKETS, LLC

Office #1: One Liberty Plaza 7th Floor, Suite 701, New York, NY 10006

CRD#: 140345

New York, NY

Past

February 10, 2025 - May 5, 2025

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407

NEWPORT BEACH, CA

Past

November 4, 2021 - October 27, 2022

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

San Francisco, CA

Past

April 27, 2017 - May 31, 2017

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

May 9, 2016 - December 16, 2016

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

NEW YORK, NY

Past

April 5, 2004 - May 6, 2016

SIDOTI & COMPANY, LLC

CRD#: 102860

NEW YORK, NY

Past

February 26, 2003 - January 5, 2004

NEEDHAM & COMPANY, LLC

CRD#: 16360

NEW YORK, NY

Past

May 10, 2000 - July 9, 2002

ROBERTSON STEPHENS, INC.

CRD#: 41271

SAN FRANCISCO, CA

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

New York
(9/7/2025)

Exams

State Security Law Exam

Series 63

Date: 1/27/2025

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 2/25/2025

Securities Trader Exam

General Industry/Product Exam

Series 7TO

Date: 2/10/2025

General Securities Representative Examination

General Industry/Product Exam

Series 55

Date: 6/6/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/9/2000

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

LUCID CAPITAL MARKETS, LLC

CRD#: 140345 / SEC#: , 8-67305

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

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Contact information

Main Address

New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005

Mailing Address

C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038

Phone number

(212) 306-2700

Established

New York since 06/15/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (25 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GI4 HOLDINGS, LLC	SOLE PROPRIETOR
IANNONE, JOHN VINCENT JR.	CHIEF FINANCIAL OFFICER AND OPERATIONS PRINCIPAL	1616912
SHAPIRO, ANDREW JAY	CHIEF COMPLIANCE OFFICER	1104658
TANIOS, FADY	CEO	4213894
YANNOTTI, ALEXANDER ANTHONY	FINANCIAL OPERATIONS PRINCIPAL	1333893

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. Laux

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

ROTH CAPITAL PARTNERS, LLC

FIRST REPUBLIC SECURITIES COMPANY, LLC

MAXIM GROUP LLC

FIRST REPUBLIC SECURITIES COMPANY, LLC

SIDOTI & COMPANY, LLC

NEEDHAM & COMPANY, LLC

ROBERTSON STEPHENS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/27/2025

Series 57TO

Date: 2/25/2025

Series 7TO

Date: 2/10/2025

Series 55

Date: 6/6/2000

Series 7

Date: 5/9/2000

FINRA

NYSE American LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

LUCID CAPITAL MARKETS, LLC

Contact information

FINRA licenses (25 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LUCID CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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