James M. Basham
Professional summary
James Marshall Basham is a registered financial professional currently at ALPACA 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 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 55, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Marshall Basham's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 1, 2026 - Present
ALPACA SECURITIES LLC
Office #1: 12 E 49th St. Floor 11, New York, NY 10017July 3, 2025 - March 31, 2026
APEX CLEARING CORPORATION
December 21, 2018 - May 21, 2019
ESPOSITO SECURITIES, LLC
September 25, 2015 - December 24, 2018
REDI GLOBAL TECHNOLOGIES LLC
April 2, 2014 - April 17, 2015
AGENCY TRADING GROUP, INC.
July 30, 2012 - October 17, 2012
WADDELL & REED
July 13, 2012 - October 17, 2012
WADDELL & REED
August 31, 1994 - January 8, 1999
J.C. BRADFORD & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 7/2/2025
General Securities Representative ExaminationSeries 55
Date: 4/15/2014
Limited Representative-Equity Trader ExamFINRA
Investors' Exchange LLC
Nasdaq Stock Market
Nasdaq Texas, LLC
Current Firm
ALPACA SECURITIES LLC
CRD#: 288202 / SEC#: , 8-69928
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALPACADB, INC. | SOLE MEMBER | |
| DIAZ, ZACHARY LUCIANO | SR. DIRECTOR CUSTODY & SETTLEMENT, PRINCIPAL OPERATIONS OFFICER | 6027965 |
| DUSSEAULT, DAVID STANLEY | PRESIDENT AND COO | 2819891 |
| GARZA, FELIPE | AML COMPLIANCE OFFICER | 4613815 |
| LEE, TONY | GLOBAL HEAD OF BROKERAGE | 5618563 |
| SAUGSTAD, MONIQUE D | CHIEF COMPLIANCE OFFICER | 4127241 |
| TAIFI, MEHDI | CHIEF RISK OFFICER | 5977322 |
| WETTERWALD, TAMMY CAO | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 6113272 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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