Brian M. James

BTIG

San Francisco, CA 94104

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CRD#: 2561545

Professional summary

Brian Matthew James is a registered financial professional currently at BTIG, LLC located in San Francisco, California.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1994. Brian has worked at 10 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Matthew James'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

January 14, 2020 - Present

BTIG, LLC

Office #1: 350 Bush Street 9th Floor, San Francisco, CA 94104

CRD#: 122225

San Francisco, CA

Past

January 18, 2012 - February 16, 2018

TRIAD SECURITIES CORP

CRD#: 11363

NEW YORK, NY

Past

January 22, 2009 - May 11, 2015

MISSION CAPITAL LLC

CRD#: 148006

NEW YORK, NY

Past

May 9, 2006 - March 19, 2007

RAIT SECURITIES, LLC

CRD#: 136622

NEW YORK, NY

Past

June 18, 2002 - July 10, 2007

COHEN & COMPANY SECURITIES, LLC

CRD#: 104002

NEW YORK, NY

Past

May 27, 1999 - June 27, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

July 3, 1997 - April 7, 1999

BA INVESTMENT SERVICES, INC.

CRD#: 12965

OAKLAND, CA

Past

August 30, 1995 - April 21, 1997

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 19, 1995 - August 22, 1995

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

November 28, 1994 - March 1, 1995

STRATTON OAKMONT INC.

CRD#: 18692

LAKE SUCCESS, NY

State Registrations and Notice Filings

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

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

California
(1/14/2020)

Exams

State Security Law Exam

Series 63

Date: 12/7/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 2/16/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/25/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/30/2002

General Securities Principal Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

BTIG, LLC

BASS TRADING, LLC | BTIG, LLC | BTIG ELECTRONIC TRADING | BAYPOINT TRADING, LLC

CRD#: 122225 / SEC#: , 8-65473

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

350 Bush Street 9th Floor, San Francisco, CA 94104

Mailing Address

350 Bush Street 9th Floor, San Francisco, CA 94104

Phone number

(415) 248-2200

Established

Delaware since 06/05/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CONDOR TRADING LP	MANAGER/MEMBER
CZEPIEL, KYLE ROBERT	CHIEF OPERATING OFFICER	2360785
ENDRES, BRIAN KENNETH	CFO/FINOP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER	2673131
HAMILTON, AUSTIN	CHIEF COMPLIANCE OFFICER	2592315
LEROY, ANTON MAURICE	CHIEF EXECUTIVE OFFICER	2862204

Disclosures

Regulatory Event	11
Civil Event	1

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.

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Advisor Monitoring

Firm Stability Insights

Brian M. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Matthew James's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRIAD SECURITIES CORP

MISSION CAPITAL LLC

RAIT SECURITIES, LLC

COHEN & COMPANY SECURITIES, LLC

UBS FINANCIAL SERVICES INC.

BA INVESTMENT SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

FIRST UNION CAPITAL MARKETS CORP.

STRATTON OAKMONT INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/7/1994

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 2/16/2018

Series 7

Date: 11/25/1994

Series 24

Date: 1/30/2002

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE Arca, Inc.

Nasdaq ISE, LLC

Nasdaq Stock Market

Current Firm

BTIG, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BTIG, LLC

TRUST BUT VERIFY

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