JB
James K. Broder
STARWOOD CAPITAL, L.L.C.
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 2421939
JB
Professional summary
James Kittredge Broder, who also goes by Jimmy Broder, is a registered financial professional currently at STARWOOD CAPITAL, L.L.C. located in Greenwich, Connecticut.
James is registered as a RR (Registered Representative) and started their career in finance in 1994. James has worked at 4 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jimmy Broder
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.
CRS (Client Relationship Summary) - BD
Click below to view James Kittredge Broder'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®
NoneExperience
Current
January 2, 2013 - Present
STARWOOD CAPITAL, L.L.C.
Office #1: 591 West Putnam Avenue, Greenwich, CT 06830Office #2: 591 West Putnam Avenue, Greenwich, CT 06830BD
CRD#: 146057
Greenwich, CT
Past
July 7, 2011 - April 30, 2012
SANTANDER US CAPITAL MARKETS LLC
BD
CRD#: 150696
NEW YORK, NY
Past
June 30, 2008 - July 8, 2011
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
January 1, 1994 - June 9, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
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
Alabama(3/26/2021)
RR
Alaska(4/5/2021)
RR
Arizona(4/22/2021)
RR
Arkansas(4/5/2021)
RR
California(1/3/2013)
RR
Colorado(3/26/2025)
RR
Connecticut(1/2/2013)
RR
Delaware(3/29/2021)
RR
District of Columbia(1/18/2013)
RR
Florida(1/3/2013)
RR
Georgia(1/2/2013)
RR
Hawaii(5/13/2021)
RR
Idaho(3/26/2021)
RR
Illinois(1/3/2013)
RR
Indiana(4/1/2021)
RR
Iowa(4/2/2021)
RR
Kansas(3/26/2021)
RR
Kentucky(3/26/2021)
RR
Louisiana(3/26/2021)
RR
Maine(3/26/2021)
RR
Maryland(3/29/2021)
RR
Massachusetts(2/28/2013)
RR
Michigan(4/2/2013)
RR
Minnesota(3/29/2021)
RR
Mississippi(3/29/2021)
RR
Missouri(2/13/2013)
RR
Montana(3/26/2021)
RR
Nebraska(4/2/2021)
RR
Nevada(2/1/2013)
RR
New Hampshire(6/3/2021)
RR
New Jersey(1/11/2013)
RR
New Mexico(3/26/2021)
RR
New York(3/28/2021)
RR
North Carolina(1/2/2013)
RR
North Dakota(3/29/2021)
RR
Ohio(1/4/2013)
RR
Oklahoma(3/30/2021)
RR
Oregon(4/1/2021)
RR
Pennsylvania(1/3/2013)
RR
Puerto Rico(4/5/2021)
RR
Rhode Island(1/2/2013)
RR
South Carolina(4/13/2021)
RR
South Dakota(1/3/2013)
RR
Tennessee(1/8/2013)
RR
Texas(6/12/2013)
RR
Utah(4/14/2021)
RR
Vermont(3/26/2021)
RR
Virgin Islands(3/30/2021)
RR
Virginia(4/1/2021)
RR
Washington(1/8/2013)
RR
West Virginia(4/1/2021)
RR
Wisconsin(3/29/2021)
RR
Wyoming(3/29/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SC
STARWOOD CAPITAL, L.L.C.
591 CAPITAL SECURITIES, L.L.C. | STARWOOD CAPITAL, L.L.C.
CRD#: 146057 / SEC#: , 8-67788
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
591 West Putnam Avenue, Greenwich, CT 06830
Mailing Address
591 West Putnam Avenue, Greenwich, CT 06830
Phone number
(203) 422-7775
Established
Delaware since 08/02/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
