James M. Basham
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 Marshall Basham was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 6 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 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 ExamCurrent Firm
APEX CLEARING CORPORATION
CRD#: 13071 / SEC#: , 8-23522
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APEX FINTECH SOLUTIONS INC. | SHAREHOLDER | |
| CAPUZZI, WILLIAM WALTER | CHIEF EXECUTIVE OFFICER | 4323894 |
| COUGHLIN, CONNOR DANIEL | CHIEF CUSTOMER OFFICER | 6665836 |
| DUCKWORTH, PAUL D | FINOP, PRINCIPAL FINANCIAL OFFICER | 3202937 |
| LOUIS-CHARLES, FRITZ | CHIEF OPERATIONS OFFICER (INCLUDES PRINCIPAL OPERATIONS OFFICER ROLE) | 3232698 |
| RAY, TERRY DAVID | CHIEF REVENUE OFFICER | 5295510 |
| TOURNEY, ROBERT ANDREW | CHIEF COMPLIANCE OFFICER | 6251742 |
Disclosures
| Regulatory Event | 49 |
| Arbitration | 8 |
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.
