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JD

James T. Denton

BROADHAVEN SECURITIES LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 2632004
JD

Professional summary

James Turner Denton, who also goes by James T Denton, is a registered financial professional currently at BROADHAVEN 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 4 firms and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James T Denton

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 Turner Denton'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

April 13, 2012 - Present

BROADHAVEN SECURITIES LLC

Office #1: 330 Madison Ave 28th Floor, New York, NY 10017
BD
CRD#: 157804
New York, NY
Past

September 19, 2002 - January 26, 2012

ROTHSCHILD & CO US INC.

BD
CRD#: 2910
NEW YORK, NY
Past

May 1, 2001 - May 13, 2002

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

August 24, 1995 - May 1, 2001

JPMSI

BD
CRD#: 15733
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
California
(12/6/2012)
RR
Connecticut
(4/19/2012)
RR
Florida
(3/13/2017)
RR
Georgia
(12/6/2012)
RR
Illinois
(12/6/2012)
RR
Kansas
(12/11/2012)
RR
Massachusetts
(2/21/2017)
RR
New York
(12/6/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 12/5/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BROADHAVEN SECURITIES LLC
BROADHAVEN SECURITIES LLC

CRD#: 157804 / SEC#: , 8-68862

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

Main Address
155 North Wacker Suite 4440, Chicago, IL 60606
Mailing Address
155 North Wacker Suite 4440, Chicago, IL 60606
Phone number
(312) 621-9801
Established
Delaware since 04/04/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BROADHAVEN CAPITAL PARTNERS, LLCOWNER
LOCKWOOD, MEGHAN EILEENCFO/FINOP4474368
PHILLIPS, GREGORY ALLENCEO/CCO/AMLCO/ER3269223
VON DOHLEN, GERARD NICHOLAS JR.PRINCIPAL2914891

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

BROADHAVEN SECURITIES LLC

CRD#: 157804New York, NY 10017

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