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JJ

James A. Jennings

Some features on this profile are disabled
CRD#: 2551430
JJ

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 Aloyscious Jennings IV, who also goes by James A Jennings, James Aloysius Jennings IV, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1995. James had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James A Jennings | James Aloysius Jennings Iv

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 4, 2017 - January 3, 2018

NOBLE CAPITAL MARKETS, INC.

BD
CRD#: 15768
New York, NY
Past

July 1, 2015 - May 17, 2017

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

February 10, 2010 - July 28, 2015

NOBLE CAPITAL MARKETS, INC.

BD
CRD#: 15768
FAIR HAVEN, NJ
Past

July 7, 2009 - February 10, 2010

TRADE INFORMATICS LLC

BD
CRD#: 143867
RED BANK, NJ
Past

April 7, 2008 - June 12, 2009

VDM INSTITUTIONAL BROKERAGE, LLC

BD
CRD#: 39022
NEW YORK, NY
Past

January 30, 2006 - March 31, 2008

W.R. HAMBRECHT + CO., LLC

BD
CRD#: 45040
NEW YORK, NY
Past

September 7, 2004 - January 18, 2006

CANACCORD GENUITY SECURITIES LLC

BD
CRD#: 24790
NEW YORK, NY
Past

May 1, 2001 - April 26, 2004

FULCRUM GLOBAL PARTNERS LLC

BD
CRD#: 104455
NEW YORK, NY
Past

February 24, 1999 - March 23, 2001

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

March 14, 1997 - March 5, 1998

HAMBRECHT & QUIST LLC

BD
CRD#: 940
SAN FRANCISCO, CA
Past

June 8, 1995 - February 24, 1997

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/25/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/3/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/28/1995
General Securities Representative Examination

Current Firm

NC
NOBLE CAPITAL MARKETS, INC.
NOBLE CAPITAL MANAGEMENT INC | NOBLE LIFE SCIENCE PARTNERS | NOBLE INTERNATIONAL INVESTMENTS, INC. | NOBLE FINANCIAL CAPITAL MARKETS | NOBLE CAPITAL MARKETS, INC.

CRD#: 15768 / SEC#: , 8-32706

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
150 East Palmetto Park Road Suite 110, Boca Raton, FL 33432
Mailing Address
150 East Palmetto Park Road Suite 110, Boca Raton, FL 33432
Phone number
(561) 994-1191
Established
Florida since 09/21/1984
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (53 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#
NOBLE FINANCIAL GROUP, INC.SHAREHOLDER
LEAN, DAVID JONATHANCCO3114377
PRONK, NICOLAAS PETRUSOWNER, CEO, CFO1726101

Disclosures

Regulatory Event9
Arbitration11

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

NOBLE CAPITAL MARKETS, INC.

CRD#: 15768

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