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JV

James J. Verdone

DEALER SOLUTIONS NORTH AMERICA LLC
New York, NY 10004
Some features on this profile are disabled
CRD#: 2581251
JV

Professional summary

James Joseph Verdone, who also goes by James J Verdone, Jim Joseph Verdone, is a registered financial professional currently at DEALER SOLUTIONS NORTH AMERICA LLC located in New York, New York and AGM SECURITIES LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1995. James has worked at 25 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 14, Series 53, Series 10, Series 9, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James J Verdone | Jim Joseph Verdone

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 Joseph Verdone's 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

September 29, 2017 - Present

DEALER SOLUTIONS NORTH AMERICA LLC

Office #1: 42 Broadway, Suite 12-129, New York, NY 10004
BD
CRD#: 286268
New York, NY
Current

July 27, 2019 - Present

AGM SECURITIES LLC

Office #1: 42 Broadway Suite 12-129, New York, NY 10004
BD
CRD#: 132197
New York, NY
Current

November 3, 2021 - Present

OHANAE SECURITIES LLC

Office #1: 42 Broadway, Suite 12-129, New York, NY 10004
BD
CRD#: 304656
New York, NY
Current

November 12, 2021 - Present

DORSET PEAK SECURITIES LLC

Office #1: 416 West 13th Street, New York, NY 10014
BD
CRD#: 312209
New York, NY
Current

January 12, 2023 - Present

BRIGHTTOWER SECURITIES LLC

Office #1: 110 East 25th Str. 11th Floor, New York, NY, 10010
BD
CRD#: 318266
New York, NY
Past

March 15, 2023 - February 1, 2024

SEQUOIA INVESTMENTS, INC.

BD
CRD#: 39341
ROSWELL, GA
Past

August 19, 2022 - October 27, 2022

WESTON SECURITIES CORPORATION

BD
CRD#: 15743
WELLESLEY, MA
Past

October 2, 2018 - May 21, 2020

SERA GLOBAL SECURITIES US LLC

BD
CRD#: 283339
ALPHARETTA, GA
Past

April 27, 2018 - April 24, 2019

POWELL CAPITAL MARKETS, INC.

BD
CRD#: 28328
ROSELAND, NJ
Past

March 9, 2018 - November 1, 2021

FORUM CAPITAL SECURITIES LLC

BD
CRD#: 113855
NEW YORK, NY
Past

July 17, 2017 - November 6, 2020

GREYSTONE BROKER DEALER CORP

BD
CRD#: 284359
NEW YORK, NY
Past

May 10, 2017 - March 9, 2022

RIALTO MARKETS LLC

BD
CRD#: 283477
NEW YORK, NY
Past

August 23, 2016 - July 10, 2017

CITIC SECURITIES INTERNATIONAL USA, LLC

BD
CRD#: 158266
NEW YORK, NY
Past

June 27, 2016 - June 29, 2021

EQT PARTNERS BD LLC

BD
CRD#: 281727
NEW YORK, NY
Past

December 9, 2015 - January 31, 2018

16 POINTS LLC

BD
CRD#: 277033
New York, NY
Past

November 4, 2015 - August 27, 2025

CAPELLA SECURITIES LLC

BD
CRD#: 174167
SANTA BARBARA, CA
Past

September 25, 2015 - November 9, 2015

ACP SECURITIES, LLC

BD
CRD#: 139049
MIAMI, FL
Past

January 7, 2015 - December 31, 2024

GATEWOOD SECURITIES LLC

BD
CRD#: 171121
NEW YORK, NY
Past

December 12, 2014 - June 4, 2015

RAYMOND C. FORBES & CO., INC.

BD
CRD#: 33090
NEW YORK, NY
Past

January 27, 2012 - December 20, 2013

SAFRA SECURITIES LLC

BD
CRD#: 47873
NEW YORK, NY
Past

July 21, 2010 - October 28, 2010

CAPITAL ONE INVESTMENT SERVICES LLC

BD
CRD#: 25658
MELVILLE, NY
Past

February 3, 1999 - November 6, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 3, 1996 - August 6, 1997

ROYAL HUTTON SECURITIES CORP.

BD
CRD#: 14489
NEW YORK, NY
Past

May 21, 1996 - December 18, 1996

TOLUCA PACIFIC SECURITIES CORP.

BD
CRD#: 13875
BURBANK, CA
Past

May 19, 1995 - December 1, 1995

L.C. WEGARD & CO., INC.

BD
CRD#: 3722
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
Indiana
(2/16/2022)
RR
Puerto Rico
(10/16/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 5/26/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/18/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/30/2012
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 4/6/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/9/2001
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/15/1996
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/6/1995
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BRIGHTTOWER SECURITIES LLC
BRIGHTTOWER SECURITIES LLC

CRD#: 318266 / SEC#: , 8-70864

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

Main Address
110 East 25th Street 11th Floor, New York, NY, 10010
Mailing Address
110 East 25th Street 11th Floor, New York, NY, 10010
Phone number
(212) 796-1531
Established
New York since 11/18/2021
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BRIGHTTOWER LLCPARENT
BECK, RAFAELFINOP5718571
VERDONE, JAMES JOSEPHCEO/CCO2581251

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

BRIGHTTOWER SECURITIES LLC

CRD#: 318266New York, NY 10004

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