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JH

James C. Hopkins

DOMINARI SECURITIES LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 2688074
JH

Professional summary

James Conley Hopkins is a registered financial professional currently at DOMINARI SECURITIES LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1996. James has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 James Conley Hopkins'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

October 7, 2024 - Present

DOMINARI SECURITIES LLC

Office #1: 725 Fifth Avenue 23rd Fl., New York, NY, 10022
RIA
BD
CRD#: 18975
New York, NY
Past

April 29, 2024 - October 9, 2024

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
UNIONDALE, NY
Past

October 13, 2014 - May 28, 2024

DAWSON JAMES SECURITIES, INC.

BD
CRD#: 130645
BOCA RATON, FL
Past

March 10, 2014 - March 27, 2014

DAWSON JAMES SECURITIES, INC.

BD
CRD#: 130645
BOCA RATON, FL
Past

May 3, 2004 - July 13, 2006

GRANTA CAPITAL GROUP LLC

BD
CRD#: 114657
NEW YORK, NY
Past

September 16, 2002 - March 24, 2004

VIEWTRADE FINANCIAL

BD
CRD#: 47116
BOCA RATON, FL
Past

June 5, 2002 - October 21, 2002

STONEX SECURITIES INC.

BD
CRD#: 18456
BIRMINGHAM, AL
Past

October 15, 2001 - May 7, 2002

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

October 30, 1997 - October 9, 2001

THE THORNWATER COMPANY, L.P.

BD
CRD#: 36195
NEW YORK, NY
Past

July 15, 1997 - October 28, 1997

PRIME CHARTER LTD.

BD
CRD#: 25668
NEW YORK, NY
Past

September 25, 1996 - July 24, 1997

SHAMUS GROUP, INC.

BD
CRD#: 5036
Past

April 4, 1996 - October 8, 1996

ROAN CAPITAL PARTNERS L.P.

BD
CRD#: 33063
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DS
DOMINARI SECURITIES LLC
DOMINARI SECURITIES LLC | SPECTRUM FINANCIAL STRATEGIES, INC. | NUTMEG SECURITIES, LTD. | NUTMEG SECURITIES, LLC | METRO PENSION ANALYSTS, LTD. | FUTURES BENEFITS | FREEDOM FINANCIAL SERVICES, INC | FIELDPOINT PRIVATE SECURITIES, LLC | FIELDPOINT PRIVATE SECURITIES LLC | E-BENEFITS

CRD#: 18975 / SEC#: 801-78295, 8-37105

RIA
Registered Investment Advisory firm - SEC (7/31/2013 Approved)
Arizona
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
California
Registered Investment Advisory firm - SEC (9/22/2013 Terminated)
Colorado
Registered Investment Advisory firm - SEC (8/23/2013 Terminated)
Connecticut
Registered Investment Advisory firm - SEC (8/27/2013 Terminated)
Delaware
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Florida
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Georgia
Registered Investment Advisory firm - SEC (8/26/2013 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (8/28/2013 Terminated)
Maryland
Registered Investment Advisory firm - SEC (1/22/2013 Terminated)
Michigan
Registered Investment Advisory firm - SEC (9/9/2013 Terminated)
Nevada
Registered Investment Advisory firm - SEC (9/17/2013 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (11/4/2013 Terminated)
New Mexico
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
New York
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Ohio
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Oregon
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Rhode Island
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
South Dakota
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Texas
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

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
Arizona
(10/16/2024)
RR
California
(10/8/2024)
RR
Connecticut
(10/8/2024)
RR
Florida
(10/9/2024)
RR
Nebraska
(10/18/2024)
RR
New Jersey
(10/9/2024)
RR
New York
(10/29/2024)
RR
North Carolina
(10/11/2024)
RR
Pennsylvania
(10/9/2024)
RR
Puerto Rico
(10/21/2024)
RR
Texas
(10/9/2024)
RR
Utah
(10/8/2024)
RR
Wisconsin
(10/10/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/9/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/10/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/26/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

DS
DOMINARI SECURITIES LLC
DOMINARI SECURITIES LLC | SPECTRUM FINANCIAL STRATEGIES, INC. | NUTMEG SECURITIES, LTD. | NUTMEG SECURITIES, LLC | METRO PENSION ANALYSTS, LTD. | FUTURES BENEFITS | FREEDOM FINANCIAL SERVICES, INC | FIELDPOINT PRIVATE SECURITIES, LLC | FIELDPOINT PRIVATE SECURITIES LLC | E-BENEFITS

CRD#: 18975 / SEC#: 801-78295, 8-37105

RIA
Registered Investment Advisory firm - SEC (7/31/2013 Approved)
Arizona
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
California
Registered Investment Advisory firm - SEC (9/22/2013 Terminated)
Colorado
Registered Investment Advisory firm - SEC (8/23/2013 Terminated)
Connecticut
Registered Investment Advisory firm - SEC (8/27/2013 Terminated)
Delaware
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Florida
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Georgia
Registered Investment Advisory firm - SEC (8/26/2013 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (8/28/2013 Terminated)
Maryland
Registered Investment Advisory firm - SEC (1/22/2013 Terminated)
Michigan
Registered Investment Advisory firm - SEC (9/9/2013 Terminated)
Nevada
Registered Investment Advisory firm - SEC (9/17/2013 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (11/4/2013 Terminated)
New Mexico
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
New York
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Ohio
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Oregon
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Rhode Island
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
South Dakota
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Texas
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
725 Fifth Avenue 23rd Fl., New York, NY, 10022
Mailing Address
725 Fifth Avenue 23rd Fl., New York, NY, 10022
Phone number
(212) 393-4500
Established
Delaware since 04/05/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
11

SEC notice filing (53 States and Territories)

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

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 / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

DOMINARI SECURITIES ADV PART 2 BROCHURE (2025) (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
DOMINARI FINANCIAL, INC.OWNER
CAMPBELL, ROBERT NMNFINOP1349154
DEIGNAN, EDWARD PHILIP JRPRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER4597976
MERCADO, JAIMECHIEF COMPLIANCE OFFICER, AMLCO2863760
NEWMAN, ERICEVP/ROP2509259
WILLIAMS, JOHN MARSHALLCOMPLIANCE OFFICER2833948
WOOL, KYLE MICHAELCEO/ PRESIDENT4238101

Regulatory assets under management

Total Number of Accounts235
AUM (Assets Under Management)$ 41,647,787

Disclosures

Regulatory Event5

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

DOMINARI SECURITIES LLC

CRD#: 18975New York, NY 10022

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