James D. Bailey
Professional summary
James Donnavon Bailey, who also goes by James Donnavon Bailey, is a registered financial professional currently at PERSHING LLC located in Lake Mary, Florida and BNY MELLON CAPITAL MARKETS, LLC located in Lake Mary, Florida.
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 66, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Donnavon Bailey's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 20, 2007 - Present
PERSHING LLC
Office #1: 600 Colonial Center Parkway, Lake Mary, FL 32746Office #2: 300 Colonial Center Parkway, Lake Mary, FL 32746January 3, 2024 - Present
BNY MELLON CAPITAL MARKETS, LLC
Office #1: 300 Colonial Center Parkway, Lake Mary, FL 32746February 2, 2007 - November 28, 2007
CHARLES SCHWAB & CO., INC.
January 18, 2006 - November 28, 2007
CHARLES SCHWAB & CO., INC.
April 11, 2005 - December 19, 2005
AMSOUTH INVESTMENT SERVICES, INC.
April 1, 2004 - March 24, 2005
TRUIST INVESTMENT SERVICES, INC.
October 3, 2003 - March 24, 2005
TRUIST INVESTMENT SERVICES, INC.
January 23, 2003 - May 14, 2003
PRUCO SECURITIES, LLC.
June 19, 1997 - December 31, 2002
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/20/2007)
(12/20/2007)
Exams
Series 52TO
Date: 8/1/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationBOX Exchange LLC
Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
BNY MELLON CAPITAL MARKETS, LLC
CRD#: 17454 / SEC#: , 8-35255
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY CAPITAL MARKETS HOLDINGS, INC. | SOLE SHAREHOLDER | |
| BARYSH, ROBERT PHILIP | CHIEF OPERATIONS OFFICER (COO), PRINCIPAL OPERATIONS OFFICER | 2800329 |
| DUFFANY, STEPHEN JOHN | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2535640 |
| GOODHEART, JOHN | BOARD OF MANAGERS | 2419623 |
| HIGGINS, ALISON MATTHESEN | BOARD OF MANAGERS, CHIEF COMPLIANCE OFFICER (CCO) | 6718782 |
| KLINGER, DANIEL ADAM | BOARD OF MANAGERS | 2983871 |
| LYNCH, ROBERT E | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 2981333 |
| MCCORMICK, JEFFREY | BOARD OF MANAGERS | 5261504 |
| SKOKO, DRAGAN | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 4394961 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 1 |
Red Flags
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