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JR

James A. Runnels

DLCC PRIME
Jersey City, NJ 07310
Some features on this profile are disabled
CRD#: 2981178
JR

Professional summary

James Anthony Runnels, who also goes by James A Runnels, is a registered financial professional currently at DLCC PRIME located in Jersey City, New Jersey.

James is registered as a RR (Registered Representative) and started their career in finance in 1998. James has worked at 13 firms and has passed the Series 63, Series 65, Series 99TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James A Runnels

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 Anthony Runnels'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 8, 2022 - Present

DLCC PRIME

Office #1: 111 Town Square Place Suite 1203, Jersey City, NJ 07310
BD
CRD#: 312753
Jersey City, NJ
Past

January 9, 2020 - December 22, 2020

BAY CREST PARTNERS, LLC

BD
CRD#: 39944
NEW YORK, NY
Past

March 28, 2018 - February 6, 2019

SPEEDROUTE LLC

BD
CRD#: 104138
JERSEY CITY, NJ
Past

February 7, 2018 - February 9, 2018

CF SECURED, LLC

BD
CRD#: 285841
New York, NY
Past

April 11, 2016 - February 9, 2018

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

September 18, 2014 - March 17, 2016

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

July 2, 2012 - August 11, 2014

VIRTU AMERICAS LLC

BD
CRD#: 149823
JERSEY CITY, NJ
Past

April 11, 2012 - July 2, 2012

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ
Past

February 15, 2012 - April 5, 2012

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

June 23, 2008 - January 9, 2012

WJB CAPITAL GROUP, INC.

BD
CRD#: 37334
NEW YORK, NY
Past

April 3, 2008 - June 18, 2008

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
EATONTOWN, NJ
Past

January 16, 2002 - March 31, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

May 27, 1999 - January 18, 2002

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

March 4, 1998 - May 14, 1999

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
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
New Jersey
(12/8/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 7/8/2008
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/17/1998
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/1/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DP
DLCC PRIME
DLCC PRIME

CRD#: 312753 / SEC#: , 8-70716

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

Main Address
111 Town Square Place Suite 1203, Jersey City, NJ 07310
Mailing Address
111 Town Square Place Suite 1203, Jersey City, NJ 07310
Phone number
(201) 621-0940
Established
New Jersey since 01/26/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DIGITAL PRIME TECHNOLOGIES, LLCOWNER
CREIGHTON, JOHN MATTHEWFINOP1909492
GAROFALO, GLEN FRANCISPRINCIPAL2208570
SHERRY, ROBERT JAMESPRESIDENT & CHIEF COMPLIANCE OFFICER1418724

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

DLCC PRIME

CRD#: 312753Jersey City, NJ 07310

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