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JG

James N. Gorsd

Some features on this profile are disabled
CRD#: 2896916
JG

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 Nathan Gorsd was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1997. James had worked at 6 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 12, 2012 - January 27, 2014

MIURA CAPITAL, LLC

BD
CRD#: 146193
NEW YORK, NY
Past

March 20, 2009 - January 18, 2012

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

May 5, 2008 - August 20, 2008

WHITAKER SECURITIES LLC

BD
CRD#: 121465
NEW YORK, NY
Past

September 18, 2002 - July 13, 2006

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

May 1, 2001 - November 30, 2001

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

August 1, 1997 - May 1, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY

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: 1/20/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/31/1997
General Securities Representative Examination

Current Firm

MC
MIURA CAPITAL, LLC
MIURA CAPITAL, LLC | MWM SECURITIES, LLC | MUREX CAPITAL, LLC

CRD#: 146193 / SEC#: , 8-67793

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

Main Address
1395 Brickell Ave Suite 1560, Miami, FL 33131
Mailing Address
1395 Brickell Ave Suite 1560, Miami, FL 33131
Phone number
(305) 529-4700
Established
Florida since 06/20/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PEDRO RAUL LOPEZ REVOCABLE TRUSTSHAREHOLDER
MWM HOLDINGS GROUP, INC.SHAREHOLDER
HUOP TRUST (REVOCABLE)SHAREHOLDER
D ALFONSO, ITALOCEO4485045
LOPEZ-JACOME, PEDRO RAULTRUSTEE4875711
MENDEZ, MARCO ANTONIOPRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER1175827
ORTEGA, HUGO RAFAELTRUSTEE4875723
PINANGO DE CHENE, RICHARD JOSECHIEF COMPLIANCE OFFICER6404348

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

MIURA CAPITAL, LLC

CRD#: 146193

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