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JB

James M. Braselton

ARENA FINANCIAL SERVICES
New York, NY 10174
Some features on this profile are disabled
CRD#: 2448499
JB

Professional summary

James Mitchell Braselton, who also goes by Mitch Braselton, is a registered financial professional currently at ARENA FINANCIAL SERVICES, 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 8 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mitch Braselton

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 Mitchell Braselton'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

October 15, 2024 - Present

ARENA FINANCIAL SERVICES, LLC

Office #1: 405 Lexington Avenue 59th Floor, New York, NY 10174
BD
CRD#: 281709
New York, NY
Past

September 21, 2017 - October 15, 2024

OMNICAP, LLC

BD
CRD#: 137353
NEW YORK, NY
Past

March 4, 2014 - September 22, 2015

HEED PARTNERS, LLC

BD
CRD#: 157988
ATLANTA, GA
Past

August 3, 2010 - January 4, 2013

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

May 18, 2004 - March 27, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

April 5, 1999 - May 7, 2004

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

August 20, 1998 - May 12, 1999

BNP PARIBAS PRIME BROKERAGE, INC.

BD
CRD#: 24962
NEW YORK, NY
Past

May 6, 1994 - May 27, 1998

UBS SECURITIES LLC

BD
CRD#: 7654
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
Georgia
(10/15/2024)
RR
New York
(10/15/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/18/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/11/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/2/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/3/2006
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/9/2006
General Securities Sales Supervisor - General Module Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ARENA FINANCIAL SERVICES, LLC
ARENA FINANCIAL SERVICES, LLC

CRD#: 281709 / SEC#: , 8-69682

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
405 Lexington Avenue 59th Floor, New York, NY, 10174
Mailing Address
405 Lexington Avenue 59th Floor, New York, NY, 10174
Phone number
(212) 612-3203
Established
Delaware since 06/04/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARENA INVESTORS GROUP HOLDINGS, LLCOWNER
CUTLER, LAWRENCE DAVIDPRESIDENT/ CEO4404656
GEORGE, THOMAS KEITHFINOP, PFO POO5378303
LAMA, TSERING LHASANGCCO7818283

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.

Company Information

ARENA FINANCIAL SERVICES, LLC

CRD#: 281709New York, NY 10174

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