James P. Corr
Professional summary
James Patrick Corr is a registered financial professional currently at SAFRA SECURITIES LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1999. James has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Patrick Corr's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 23, 2015 - Present
SAFRA SECURITIES LLC
Office #1: 546 Fifth Ave, New York, NY 10036Office #2: 546 Fifth Avenue, New York, NY 10036October 12, 1999 - March 7, 2007
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 11/16/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
SAFRA SECURITIES LLC
CRD#: 47873 / SEC#: , 8-51935
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAFRA NATIONAL BANK OF NEW YORK | SOLE SHAREHOLDER | |
| BONFIM, CARLOS CESAR BERTACO | DIRECTOR | |
| COLOMBO, RAFAELO | DIRECTOR | 6054935 |
| DIBIASI, ANTHONY | FINOP | 6435706 |
| GRUNWALD, MARK STEVEN | DIRECTOR & PRESIDENT | 3262204 |
| JAVIER, SIGMUND PETER | DIRECTOR | 6002619 |
| MCCARTHY, GERARD THOMAS | CHIEF COMPLIANCE OFFICER | 3121615 |
| MORATO, SIMONI PASSOS | DIRECTOR | 5568481 |
| OSWALD, THOMAS FRANCIS | CHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER | 1828798 |
| YOU, SANG MIN JIMMY | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 6693855 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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