James Alan Fuller
Professional Summary
James Alan Fuller, who also goes by Jake Fuller, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jake Fuller
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
30 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
BASS TRADING, LLC | BTIG, LLC | BTIG ELECTRONIC TRADING | BAYPOINT TRADING, LLC
Contact Information
Main Address
350 Bush Street 9th Floor, San Francisco, CA 94104Mailing Address
350 Bush Street 9th Floor, San Francisco, CA 94104Phone Number
(415) 248-2200Established
Delaware since 06/05/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
12Civil Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Feb 2005About the Series 87 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Alan Fuller's CRS (Customer Relationship Summary).
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