JW
James E. Whitticom
BARCLAYS CAPITAL
New York, NY 10019
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CRD#: 2766656
JW
Professional summary
James E Whitticom, who also goes by James Edward Whitticom Jr, James Edward Whitticom, is a registered financial professional currently at BARCLAYS CAPITAL INC. 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 8 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Edward Whitticom Jr | James Edward Whitticom
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 E Whitticom'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
June 5, 2023 - Present
BARCLAYS CAPITAL INC.
Office #1: 745 7th Avenue, New York, NY 10019BD
CRD#: 19714
New York, NY
Past
January 31, 2018 - June 21, 2023
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
May 26, 2016 - December 4, 2017
BNP PARIBAS SECURITIES CORP.
BD
CRD#: 15794
NEW YORK, NY
Past
June 15, 2009 - May 27, 2016
NOMURA SECURITIES INTERNATIONAL, INC.
BD
CRD#: 4297
NEW YORK, NY
Past
September 22, 2008 - June 17, 2009
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
July 24, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
June 3, 2003 - September 27, 2005
TRILLIUM BROKERAGE SERVICES, LLC
BD
CRD#: 120064
NEW YORK, NY
Past
April 21, 1998 - June 5, 2003
HEARTLAND SECURITIES CORP.
BD
CRD#: 43201
EDISON, NJ
Past
August 2, 1996 - April 21, 1998
ICAPITAL MARKETS LLC
BD
CRD#: 5209
OMAHA, NE
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(6/5/2023)
RR
Alaska(6/5/2023)
RR
Arizona(6/5/2023)
RR
Arkansas(6/5/2023)
RR
California(6/5/2023)
RR
Colorado(6/5/2023)
RR
Connecticut(6/5/2023)
RR
Delaware(6/5/2023)
RR
District of Columbia(6/5/2023)
RR
Florida(6/5/2023)
RR
Georgia(6/5/2023)
RR
Hawaii(6/5/2023)
RR
Idaho(6/5/2023)
RR
Illinois(6/5/2023)
RR
Indiana(6/5/2023)
RR
Iowa(6/5/2023)
RR
Kansas(6/5/2023)
RR
Kentucky(6/5/2023)
RR
Louisiana(6/5/2023)
RR
Maine(6/5/2023)
RR
Maryland(6/5/2023)
RR
Massachusetts(6/5/2023)
RR
Michigan(6/5/2023)
RR
Minnesota(6/5/2023)
RR
Mississippi(6/5/2023)
RR
Missouri(6/5/2023)
RR
Montana(6/5/2023)
RR
Nebraska(6/5/2023)
RR
Nevada(6/5/2023)
RR
New Hampshire(6/5/2023)
RR
New Jersey(6/5/2023)
RR
New Mexico(6/5/2023)
RR
New York(6/5/2023)
RR
North Carolina(6/5/2023)
RR
North Dakota(6/5/2023)
RR
Ohio(6/5/2023)
RR
Oklahoma(6/5/2023)
RR
Oregon(6/5/2023)
RR
Pennsylvania(6/5/2023)
RR
Puerto Rico(6/5/2023)
RR
Rhode Island(6/5/2023)
RR
South Carolina(6/5/2023)
RR
South Dakota(6/5/2023)
RR
Tennessee(6/5/2023)
RR
Texas(6/5/2023)
RR
Utah(6/5/2023)
RR
Vermont(6/5/2023)
RR
Virgin Islands(6/5/2023)
RR
Virginia(6/5/2023)
RR
Washington(6/5/2023)
RR
West Virginia(6/5/2023)
RR
Wisconsin(6/5/2023)
RR
Wyoming(6/5/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/20/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange
Current Firm
BC
BARCLAYS CAPITAL INC.
BARCLAYS | WEALTH AND INVESTMENT MANAGEMENT, AMERICAS | WEALTH AND INVESTMENT MANAGEMENT A DIVISION OF BARCLAYS | FUNDS AND ADVISORY-AMERICAS | BZW SECURITIES INC. | BCFS - AMERICAS | BARCLAYS WEALTH AND INVESTMENT MANAGEMENT, AMERICAS | BARCLAYS WEALTH AMERICAS | BARCLAYS WEALTH | BARCLAYS SECURITIES INC. | BARCLAYS SECURITIES INC | BARCLAYS DE ZOETE WEDD SECURITIES INC. | BARCLAYS DE ZOETE WEDD GOVERNMENT SECURITIES, INC. | BARCLAYS CAPITAL INC. | BARCLAYS CAPITAL FUND SOLUTIONS - AMERICAS | BARCLAYS CAPITAL
CRD#: 19714 / SEC#: 801-69700, 8-41342
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
745 7th Avenue, New York, NY 10019
Mailing Address
745 7th Avenue, New York, NY 10019
Phone number
(212) 526-7000
Established
Connecticut since 03/30/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARCLAYS GROUP US INC. | OWNS BARCLAYS CAPITAL INC. | |
| ABREU, JULIAN JAVIER | ROSFP - PRIME SERVICES | 5160018 |
| JAISING, RAHUL | ROSFP - PRIME SERVICES | 4754959 |
| MATHIS, CAROL PEDERSEN | PRINCIPAL FINANCIAL OFFICER | 4322657 |
| MAYER, ANTHONY EDWARD | CHIEF RISK OFFICER | 8132690 |
| MOGAVERO, ANDREW MICHAEL | CHIEF EXECUTIVE OFFICER | 3247485 |
| O'CONNOR, CLAIRE SCHOLZ | BOARD DIRECTOR | 1907247 |
| ROGOFF, BRADLEY WAYNE | HEAD OF RESEARCH | 4569545 |
| SMITH, JULIETTE SARA | CHIEF LEGAL OFFICER | 5696210 |
| WESTWOOD, JAI | PRINCIPAL OPERATIONS OFFICER | 4611538 |
| ZACHARIA, ZACHARIA | CHIEF COMPLIANCE OFFICER | 2440444 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 4 |
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.
