JAMES E. TOWEY
HIGHTOWER SECURITIES | Managing Director, Partner
New York City, NY 10017
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CRD#: 2448108
Professional summary
JAMES EMMETT TOWEY is a registered financial professional currently at HIGHTOWER SECURITIES, LLC located in New York City, New York.
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 31 and Series 7 exams.
Biography
J Emmett Towey is a Managing Director and Partner at OneArc Capital Advisors. Emmett brings a wealth of knowledge and experience to the team through his many years in the financial services industry. Emmett and Michael oversee the team's investment and wealth management process. Emmett has significant experience in assisting high net worth individuals and corporate executives with their comprehensive wealth management needs.
Prior to joining Hightower, Emmett was a Senior Vice President of Investments and Corporate Stock Benefit Consultant at UBS Financial Services Inc. He served as a member of the Corporate Employee Financial Services group located in the firm's largest wealth management office in New York City.
Previously, Emmett was a financial professional in 1993 at Morgan Stanley. In 1996 he moved to Smith Barney where he developed his practice over a decade until joining UBS in 2007.
Emmett is a graduate of Florida Southern College. He is a founding member of Project Main Street as well as a Director on the board for this non-profit organization that supports Amyotrophic Lateral Sclerosis (ALS). The inspiration for this organization came from the death of Emmett's best friend Tim Sheehy.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view JAMES EMMETT TOWEY'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, 2015 - Present
HIGHTOWER SECURITIES, LLC
Office #1: 300 Madison Avenue 29th Floor, New York City, NY 10017BD
CRD#: 116681
New York City, NY
Past
August 22, 2007 - January 12, 2015
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
January 30, 1996 - August 30, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
February 24, 1994 - January 17, 1996
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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
Arizona(12/20/2017)
RR
California(1/2/2015)
RR
Colorado(1/2/2024)
RR
Connecticut(1/2/2015)
RR
Florida(1/26/2015)
RR
Georgia(1/2/2015)
RR
Illinois(12/19/2017)
RR
Indiana(1/2/2015)
RR
Maryland(12/4/2018)
RR
Massachusetts(1/2/2015)
RR
Michigan(12/20/2017)
RR
Minnesota(12/19/2017)
RR
Nebraska(1/2/2024)
RR
New Hampshire(12/19/2017)
RR
New Jersey(1/2/2015)
RR
New York(1/2/2015)
RR
North Carolina(1/2/2015)
RR
Pennsylvania(1/2/2015)
RR
Rhode Island(12/20/2017)
RR
South Carolina(1/2/2015)
RR
Texas(1/2/2015)
RR
Virginia(1/2/2015)
RR
Washington(1/2/2015)
RR
Wisconsin(12/19/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HS
HIGHTOWER SECURITIES, LLC
CCM EQUITIES, LLC | UNITED FIDUCIARY SECURITIES, LLC | HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Mailing Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Phone number
(312) 962-3800
Established
Illinois since 06/28/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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