James F. Kiely
Professional summary
James F Kiely, who also goes by Jim Kiely, Jimmy Kiely, is a registered financial professional currently at SWISS RE CAPITAL MARKETS CORPORATION located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1997. James has worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James F Kiely's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 20, 2022 - Present
SWISS RE CAPITAL MARKETS CORPORATION
Office #1: 1301 Avenue Of The Americas 43rd Floor, New York, NY 10019November 27, 2020 - June 21, 2022
MIZUHO SECURITIES USA LLC
December 12, 2016 - July 12, 2019
CITIGROUP GLOBAL MARKETS INC.
June 1, 2009 - March 30, 2016
MORGAN STANLEY
October 13, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 12, 2000 - December 31, 2003
PRUCO SECURITIES, LLC.
April 22, 1997 - August 21, 1998
TRANSAMERICA FINANCIAL ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/20/2022)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
SWISS RE CAPITAL MARKETS CORPORATION
CRD#: 39978 / SEC#: , 8-48914
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SWISS RE AMERICA HOLDING CORPORATION | DIRECT OWNER | |
| CHIN, JIAWEI MS | LEGAL COUNSEL | 7948579 |
| CHODKOWSKI, ADAM | DIRECTOR AND CORPORATE SECRETARY | |
| KERENYI, ATTILA FLAVIO | DIRECTOR | 7264806 |
| KIELY, JAMES F | CHIEF COMPLIANCE OFFICER | 2457647 |
| MANTEUFEL, MATTHEW THOMAS | CHIEF FINANCIAL OFFICER, FINANCIAL & OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 7684713 |
| MONNIER, JEAN-LOUIS MARIE MARCEL | CHIEF EXECUTIVE OFFICER | 7074379 |
| PELECKIS, ANTHONY J III | CHIEF RISK OFFICER | 7564033 |
| TOPCUOGLU, SIVEZAT LALE | DIRECTOR | 3265843 |
Red Flags
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