James G. Kaercher
Professional summary
James Gregory Kaercher, who also goes by Jake Gregory Kaercher, Jake Kaercher, James Gregory Kaercher, James Kaercher, James G Kaercher, is a registered financial professional currently at CASTLEOAK SECURITIES, LP located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1997. James has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Gregory Kaercher's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 15, 2025 - Present
CASTLEOAK SECURITIES, LP
Office #1: 200 Vesey Street Fl 04, New York, NY 10281June 7, 2021 - November 16, 2023
MUFG SECURITIES AMERICAS INC.
January 29, 2020 - June 8, 2021
PIPER SANDLER & CO.
October 10, 2011 - July 5, 2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 8, 2009 - September 27, 2011
BTIG, LLC
February 4, 2009 - July 8, 2009
AURIA SERVICES CORP.
January 26, 2001 - January 29, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 24, 1997 - December 14, 2000
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/15/2025)
(4/15/2025)
(4/15/2025)
(6/5/2025)
(4/15/2025)
(4/15/2025)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CASTLEOAK SECURITIES, LP
CRD#: 125334 / SEC#: , 8-65786
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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