JF
James A. Fuller
BTIG
New York, NY 10022
Some features on this profile are disabled
CRD#: 2754279
JF
Professional summary
James Alan Fuller, who also goes by Jake Fuller, is a registered financial professional currently at BTIG, 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 7 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jake Fuller
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.
CRS (Client Relationship Summary) - BD
Click below to view James Alan Fuller'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®
NoneExperience
Current
May 18, 2020 - Present
BTIG, LLC
Office #1: Park Avenue Tower 65 East 55th Street, New York, NY 10022BD
CRD#: 122225
New York, NY
Past
May 8, 2015 - May 18, 2020
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
NEW YORK, NY
Past
October 18, 2013 - May 13, 2015
B. RILEY SECURITIES, INC.
BD
CRD#: 25027
NEW YORK, NY
Past
January 25, 2011 - October 17, 2013
FM PARTNERS HOLDINGS LLC
BD
CRD#: 134736
NEW YORK, NY
Past
April 14, 2009 - January 18, 2011
SOLEIL SECURITIES CORPORATION
BD
CRD#: 124737
NEW YORK, NY
Past
May 29, 2001 - March 2, 2009
THOMAS WEISEL PARTNERS LLC
BD
CRD#: 46237
NEW YORK, NY
Past
October 9, 1996 - June 1, 2001
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
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
Alabama(5/18/2020)
RR
Alaska(5/18/2020)
RR
Arizona(5/18/2020)
RR
Arkansas(5/18/2020)
RR
California(5/18/2020)
RR
Colorado(5/18/2020)
RR
Connecticut(5/18/2020)
RR
Delaware(5/18/2020)
RR
District of Columbia(5/18/2020)
RR
Florida(5/18/2020)
RR
Georgia(5/18/2020)
RR
Hawaii(5/18/2020)
RR
Idaho(5/18/2020)
RR
Illinois(5/18/2020)
RR
Indiana(5/18/2020)
RR
Iowa(5/18/2020)
RR
Kansas(5/18/2020)
RR
Kentucky(5/18/2020)
RR
Louisiana(5/18/2020)
RR
Maine(5/18/2020)
RR
Maryland(5/18/2020)
RR
Massachusetts(5/18/2020)
RR
Michigan(5/18/2020)
RR
Minnesota(5/18/2020)
RR
Mississippi(5/18/2020)
RR
Missouri(5/18/2020)
RR
Montana(5/18/2020)
RR
Nebraska(5/18/2020)
RR
Nevada(5/18/2020)
RR
New Hampshire(5/18/2020)
RR
New Jersey(5/18/2020)
RR
New Mexico(5/18/2020)
RR
New York(5/18/2020)
RR
North Carolina(5/18/2020)
RR
North Dakota(5/18/2020)
RR
Ohio(5/18/2020)
RR
Oklahoma(5/18/2020)
RR
Oregon(5/18/2020)
RR
Pennsylvania(5/18/2020)
RR
Rhode Island(5/18/2020)
RR
South Carolina(5/18/2020)
RR
South Dakota(5/18/2020)
RR
Tennessee(6/2/2020)
RR
Texas(5/18/2020)
RR
Utah(5/18/2020)
RR
Vermont(5/18/2020)
RR
Virginia(5/18/2020)
RR
Washington(5/18/2020)
RR
West Virginia(5/18/2020)
RR
Wisconsin(5/18/2020)
RR
Wyoming(5/18/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
BL
BTIG, LLC
BASS TRADING, LLC | BTIG, LLC | BTIG ELECTRONIC TRADING | BAYPOINT TRADING, LLC
CRD#: 122225 / SEC#: , 8-65473
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Mailing Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Phone number
(415) 248-2200
Established
Delaware since 06/05/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
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.
