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JM

James D. Miano

SUSQUEHANNA SECURITIES
Bala Cynwyd, PA 19004-1122
Some features on this profile are disabled
CRD#: 2837212
JM

Professional summary

James Douglas Miano, who also goes by Jamie Miano, is a registered financial professional currently at SUSQUEHANNA SECURITIES, LLC located in Bala Cynwyd, Pennsylvania and SUSQUEHANNA FINANCIAL GROUP, LLLP located in Bala Cynwyd, Pennsylvania.

James is registered as a RR (Registered Representative) and started their career in finance in 1997. James has worked at 6 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jamie Miano

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Douglas Miano'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®
None

Experience

Current

December 19, 2014 - Present

SUSQUEHANNA SECURITIES, LLC

Office #1: 401 City Ave Ste 220, Bala Cynwyd, PA 19004-1122
BD
CRD#: 35874
Bala Cynwyd, PA
Current

June 28, 2023 - Present

SUSQUEHANNA FINANCIAL GROUP, LLLP

Office #1: 401 City Ave Suite 220, Bala Cynwyd, PA 19004-1122
BD
CRD#: 35865
Bala Cynwyd, PA
Current

May 24, 2024 - Present

GLOBAL EXECUTION BROKERS, LP

Office #1: 401 City Avenue, Bala Cynwyd, PA 19004
BD
CRD#: 126407
Bala Cynwyd, PA
Current

May 24, 2024 - Present

SUSQUEHANNA INVESTMENT GROUP

Office #1: 401 City Ave. Ste 220, Bala Cynwyd, PA 19004-1122
BD
CRD#: 33875
Bala Cynwyd, PA
Past

September 13, 2007 - March 16, 2015

SAL EQUITY TRADING, GP

BD
CRD#: 29337
BALA CYNWYD, PA
Past

October 25, 2005 - September 12, 2007

SAL EQUITY TRADING, GP

BD
CRD#: 29337
BALA CYNWYD, PA
Past

February 11, 1999 - September 13, 2007

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
BALA CYNWYD, PA
Past

January 8, 1997 - November 23, 1998

CINCINNATI ANALYSTS, INC.

BD
CRD#: 5478
CINCINNATI, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/14/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 5/24/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/18/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/7/1997
General Securities Representative Examination
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 BX, 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

Current Firm

SI
SUSQUEHANNA INVESTMENT GROUP
SUSQUEHANNA INVESTMENT GROUP

CRD#: 33875 / SEC#: , 8-37520

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
401 City Ave. Ste 220, Bala Cynwyd, PA 19004-1122
Mailing Address
401 City Ave. Ste 220, Bala Cynwyd, PA 19004-1122
Phone number
(610) 617-2600
Established
Pennsylvania since 05/01/1987
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SUSQUEHANNA INTERNATIONAL GROUP LLPGENERAL PARTNER
BODEL, INCGENERAL PARTNER
DAMATO, DANIELFINANCIAL AND OPERATIONS PRINCIPAL7430998
DOHERTY, MICHAEL PATRICKCHIEF COMPLIANCE OFFICER, SROP, CROP703900
SIMPSON, MICHAEL ROBERTPOO7521292
WORLEY, SPENCER DOUGLASHEAD TRADER5879867

Disclosures

Regulatory Event42

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.

Company Information

SUSQUEHANNA INVESTMENT GROUP

CRD#: 33875Bala Cynwyd, PA 19004-1122

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