James M. Collins
Professional summary
James M. Collins, who also goes by James M Collins, James Michael Collins, James Collins, is a registered financial professional currently at J.P. MORGAN SECURITIES LLC located in Brooklyn, New York and J.P. MORGAN PRIME INC. located in Brooklyn, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1996. James has worked at 5 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James M. Collins's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 25, 2004 - Present
J.P. MORGAN SECURITIES LLC
Office #1: 4 Chase Metrotech Center Floor 3 4, Brooklyn, NY, 11245June 21, 2016 - Present
J.P. MORGAN PRIME INC.
Office #1: 4 Chase Metrotech Ctr Floor 4, Brooklyn, NY 11245June 23, 2008 - October 1, 2016
J.P. MORGAN CLEARING CORP.
June 18, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
January 18, 2001 - May 19, 2004
J.P. MORGAN SECURITIES INC.
July 16, 1996 - May 1, 2001
JPMSI
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 99TO
Date: 1/2/2023
Operations Professional Examination24X National Exchange LLC
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
J.P. MORGAN PRIME INC.
CRD#: 282107 / SEC#: , 8-69703
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN SECURITIES LLC | STOCK HOLDER | 79 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| DICESARE, MICHAEL E | DIRECTOR, CHIEF EXECUTIVE OFFICER, AND CHAIR | 4706326 |
| KLION, ROGER JAY | CHIEF OPERATIONS OFFICER AND DIRECTOR | 5082261 |
| MEDINA, MATTHEW JOSEPH | CHIEF LEGAL OFFICER | 8115839 |
| SHERRICK, EILEEN FRANCES | CHIEF COMPLIANCE OFFICER | 2225907 |
| SISTO, MICHAEL J | DIRECTOR | 5151797 |
Red Flags
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