James P. Gruver
Professional summary
James Paul Gruver II, who also goes by James Paul Gruver, is a registered financial professional currently at HILCO CORPORATE FINANCE, LLC located in New York, New York and LUMENT 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 10 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Paul Gruver II's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 22, 2026 - Present
HILCO CORPORATE FINANCE, LLC
Office #1: 280 Park Ave 40 West, New York, NY 10017April 22, 2026 - Present
LUMENT SECURITIES, LLC
Office #1: 280 Park Avenue 40 West, New York, NY 10017September 11, 2023 - February 27, 2026
FORESIDE FUNDS DISTRIBUTORS LLC
February 23, 2016 - May 3, 2023
HEITMAN SECURITIES LLC
July 2, 2007 - May 30, 2013
BNY MELLON SECURITIES CORPORATION
October 5, 2004 - July 2, 2007
MELLON FUNDS DISTRIBUTOR, L.P.
July 25, 2003 - December 31, 2005
MBSC, LLC
February 13, 2001 - October 4, 2001
INVESTOR FORCE SECURITIES, INC.
January 30, 1997 - May 4, 2000
DELAWARE DISTRIBUTORS, L.P.
November 15, 1994 - November 28, 1995
SEI INVESTMENTS DISTRIBUTION 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
(4/27/2026)
(4/24/2026)
(4/30/2026)
(4/28/2026)
(4/24/2026)
(4/27/2026)
(4/24/2026)
(4/23/2026)
(4/23/2026)
(4/23/2026)
(4/24/2026)
(4/27/2026)
(4/24/2026)
(4/23/2026)
(4/27/2026)
(4/28/2026)
(4/24/2026)
(4/28/2026)
(4/27/2026)
(4/23/2026)
(4/27/2026)
(4/24/2026)
(4/27/2026)
(4/23/2026)
Exams
FINRA
Current Firm
LUMENT SECURITIES, LLC
CRD#: 14840 / SEC#: , 8-31175
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LUMENT REAL ESTATE CAPITAL HOLDINGS, LLC | SHAREHOLDER | |
| CROFT, JAMES FRANCIS | CHAIRMAN, BOARD OF MANAGERS | 2148025 |
| KIRKWOOD, ROBERT THOMAS | CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS | 6025468 |
| MAINELLI, KEVIN JOSEPH | MANAGING DIRECTOR - CHIEF COMPLIANCE OFFICER | 1751991 |
| SMITH, MARY AGNES | CHIEF FINANCIAL OFFICER AND FINOP | 2498307 |
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.
