James M. Gustafson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Michael Gustafson JR, who also goes by James Michael Gustafson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 18 firms and has passed the Series 63, SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2019 - December 20, 2019
THINKEQUITY LLC
May 15, 2018 - March 15, 2019
JOSEPH STONE CAPITAL L.L.C.
May 24, 2016 - June 20, 2016
DAWSON JAMES SECURITIES, INC.
February 24, 2016 - May 24, 2016
LAMPERT CAPITAL MARKETS INC.
May 5, 2015 - February 10, 2016
PHX FINANCIAL, INC.
October 28, 2014 - November 24, 2014
NATIONAL SECURITIES CORPORATION
April 14, 2014 - October 3, 2014
GLOBAL ARENA CAPITAL CORP
February 11, 2013 - April 11, 2014
LAMPERT CAPITAL MARKETS INC.
June 1, 2011 - April 13, 2012
HALCYON CABOT PARTNERS, LTD.
May 13, 2010 - October 15, 2010
FORGE FINANCIAL GROUP, INC.
February 15, 2008 - March 9, 2010
WESTROCK ADVISORS, INC.
February 11, 2008 - February 15, 2008
DAWSON JAMES SECURITIES, INC.
March 24, 2003 - February 11, 2008
CAPITAL GROWTH FINANCIAL, LLC
January 24, 2003 - March 31, 2003
PARK CAPITAL SECURITIES, LLC
July 19, 2002 - August 28, 2002
GRANTA CAPITAL GROUP LLC
January 11, 2001 - October 17, 2001
WEATHERLY SECURITIES CORPORATION
March 10, 1999 - December 20, 2000
KEATON FINANCIAL SERVICES, INC.
May 14, 1998 - December 23, 1998
KEATON FINANCIAL SERVICES, INC.
October 7, 1997 - January 8, 1998
WALSH MANNING SECURITIES, LLC
May 15, 1997 - July 8, 1997
COLEMAN & COMPANY SECURITIES, INC.
December 23, 1996 - April 30, 1997
EASTBROOK CAPITAL 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
Exams
Series 62
Date: 12/20/1996
Corporate Securities Limited Representative ExaminationCurrent Firm
THINKEQUITY LLC
CRD#: 20996 / SEC#: , 8-38622
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAIGOBIND, RAMNARAIN JOSEPH JR | CHIEF EXECUTIVE OFFICER, GENERAL PRINCIPAL | 2273469 |
| FORDHAM HOLDING GROUP, INC. | SHAREHOLDER | |
| BAQUET, EDWARD MANUEL | OPTIONS PRINCIPAL | 4986983 |
| BAQUET, WILLIAM | GENERAL PRINCIPAL, PRESIDENT, DIRECTOR, SECRETARY, TREASURER, HEAD OF TRADING, NYSE GP, NYSE GS CHIEF OPERATING OFFICER | 1332676 |
| BOYLE, BRUCE | COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1796066 |
| CHOUDHARY, CHIRAG | HEAD OF EQUITY CAPITAL MARKETS AND INSTITUTIONAL SALES | 4534379 |
| GIORDANO, CHARLES FRANCIS | MANAGING DIRECTOR, GENERAL PRINCIPAL | 2124257 |
| HENDERSON, PHYLLIS ANNE | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, NYSE GP, NYSE GS | 1343053 |
| HILDER, DAVID BRUCE | SUPERVISORY ANALYST, RESEARCH PRINCIPAL | 2178978 |
| KRIM, ALAN MITCHELL | CFO, FINOP, NYSE FI | 2785337 |
| KUMAR, ASHOK | MANAGING DIRECTOR, RESEARCH | 2374960 |
| LORD, ERIC | HEAD OF INVESTMENT BANKING | 5232206 |
| MANCUSO, PETER VINCENT | MANAGING DIRECTOR, EQUITY TRADING, NYSE COMPLIANCE OFFICER, FLOOR SUPERVISOR | 2357435 |
| MANGAN, KEVIN ROBERT | MANAGING DIRECTOR, HEAD OF EQUITY SYNDICATE | 5365766 |
| MOHAMMED, SABRINA JASMINE | FINOP | 7151560 |
| QUARTUCCIO, PHILIP PAUL | MANAGING DIRECTOR, HEAD OF GLOBAL TRADING | 2397864 |
| ROTHBAUM, SCOTT | SUPERVISOR - SALES | 5237026 |
| SINGER, JEFFREY DAVID | HEAD OF DEBT CAPITAL MARKETS | 4829339 |
| SKOP, CRAIG MICHAEL | S-24 SUPERVISOR - CORPORATE ACCESS | 2301924 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
