JD
James L. Dodwell
WESTCAP MARKETS
Rye Beach, NH 03871
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CRD#: 2962275
JD
Professional summary
James Larkin Dodwell III, who also goes by James Larkin Dodwell III, James Dodwell, is a registered financial professional currently at WESTCAP MARKETS, LLC located in Rye Beach, New Hampshire.
James is registered as a RR (Registered Representative) and started their career in finance in 1997. James has worked at 4 firms and has passed the Series 66, Series 63, Series 57TO, Series 79TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Larkin Dodwell Iii | James Dodwell
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.
CRS (Client Relationship Summary) - BD
Click below to view James Larkin Dodwell III'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®
NoneExperience
Current
January 6, 2023 - Present
WESTCAP MARKETS, LLC
Office #1: 25 Church Road, Rye Beach, NH 03871Office #2: 40 Tenth Avenue Floor 9, New York, NY 10014Office #3: 25 Church Road, Rye Beach, NH 03871BD
CRD#: 318970
Rye Beach, NH
Past
July 23, 2019 - April 19, 2022
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
June 6, 1998 - June 24, 2019
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
December 15, 1997 - February 2, 1998
NATWEST SECURITIES CORPORATION
BD
CRD#: 18238
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/1/2023)
RR
Alaska(3/20/2023)
RR
Arizona(2/6/2023)
RR
Arkansas(2/28/2023)
RR
California(2/27/2023)
RR
Colorado(3/1/2023)
RR
Connecticut(2/27/2023)
RR
Delaware(3/1/2023)
RR
District of Columbia(3/1/2023)
RR
Florida(5/30/2023)
RR
Georgia(2/7/2023)
RR
Hawaii(2/28/2023)
RR
Idaho(2/24/2023)
RR
Illinois(3/2/2023)
RR
Indiana(3/8/2023)
RR
Iowa(1/27/2023)
RR
Kansas(2/24/2023)
RR
Kentucky(3/1/2023)
RR
Louisiana(2/27/2023)
RR
Maine(2/27/2023)
RR
Maryland(2/7/2023)
RR
Massachusetts(6/23/2023)
RR
Michigan(1/24/2023)
RR
Minnesota(8/24/2023)
RR
Mississippi(3/1/2023)
RR
Missouri(3/21/2023)
RR
Montana(3/3/2023)
RR
Nebraska(3/1/2023)
RR
Nevada(2/28/2023)
RR
New Hampshire(2/24/2023)
RR
New Jersey(3/1/2023)
RR
New Mexico(3/7/2023)
RR
New York(2/27/2023)
RR
North Carolina(2/28/2023)
RR
North Dakota(2/28/2023)
RR
Ohio(1/31/2023)
RR
Oklahoma(2/28/2023)
RR
Oregon(1/31/2023)
RR
Pennsylvania(2/28/2023)
RR
Puerto Rico(3/7/2023)
RR
Rhode Island(2/17/2023)
RR
South Carolina(2/27/2023)
RR
South Dakota(2/3/2023)
RR
Tennessee(2/27/2023)
RR
Texas(3/2/2023)
RR
Utah(1/24/2023)
RR
Vermont(2/24/2023)
RR
Virgin Islands(3/16/2023)
RR
Virginia(2/28/2023)
RR
Washington(2/27/2023)
RR
West Virginia(2/28/2023)
RR
Wisconsin(2/27/2023)
RR
Wyoming(2/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 79TO
Date: 11/11/2022
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 1/14/2003
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WM
WESTCAP MARKETS, LLC
WESTCAP MARKETS, LLC
CRD#: 318970 / SEC#: , 8-70895
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
25 Church Road, Rye Beach, NH 03871
Mailing Address
25 Church Road, Rye Beach, NH 03871
Phone number
(917) 834-1136
Established
Delaware since 10/20/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WESTCAP MARKETS, LLC
CRD#: 318970Rye Beach, NH 03871TRUST BUT VERIFY
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