James J. Ewing
Professional summary
James Jonathan Ewing is a registered financial professional currently at INVESTEC SECURITIES (US) LLC located in New York, New York.
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, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Jonathan Ewing's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 3, 2021 - Present
INVESTEC SECURITIES (US) LLC
Office #1: 10 East 53rd Street 22nd Floor, New York, NY 10022August 8, 2013 - August 10, 2018
KEPLER CAPITAL MARKETS, INC.
September 29, 2010 - August 6, 2013
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
January 26, 2009 - September 29, 2010
MF GLOBAL INC.
October 30, 2006 - June 27, 2008
ABN AMRO INCORPORATED
April 11, 1997 - February 15, 2006
COMMERZ MARKETS 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
(5/4/2021)
(5/3/2021)
(5/13/2021)
(5/5/2021)
Exams
FINRA
Current Firm
INVESTEC SECURITIES (US) LLC
CRD#: 138421 / SEC#: , 8-67162
Contact information
FINRA licenses (4 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESTEC USA HOLDINGS CORP. | SOLE MEMBER | |
| GREEN, JONATHAN EVAN | GENERAL COUNSEL, MANAGER AND DIRECTOR | 7964267 |
| HADZIC, EMINA | CHIEF COMPLIANCE OFFICER (08/2025), CORPORATE SECRETARY (05/2022) | 6316232 |
| NAROV, STEVE | CHIEF FINANCIAL OFFICER, FINOP, PFO, POO, BRANCH OFFICE MANAGER AND GENERAL SECURITIES PRINCIPAL | 3060331 |
| ROSENBLUM, SCOTT S. | NON-EMPLOYEE DIRECTOR | 4251370 |
| SUMNER, NOEL JUSTIN | NON-EMPLOYEE DIRECTOR | 7448843 |
| VAN DER WALT, MARLE | NON-EMPLOYEE DIRECTOR | 7694588 |
Red Flags
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