James Alfaro

CITIZENS JMP SECURITIES

New York, NY 10019

Some features on this profile are disabled

CRD#: 3051358

Professional summary

James Alfaro, who also goes by Jaime Alfaro, Jim Alfaro, is a registered financial professional currently at CITIZENS JMP SECURITIES, LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2000. James has worked at 7 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jaime Alfaro | Jim Alfaro

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 Alfaro's CRS (Customer Relationship Summary).

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

April 4, 2022 - Present

CITIZENS JMP SECURITIES, LLC

Office #1: 1301 Avenue Of The Americas 2nd Floor, New York, NY 10019

CRD#: 22208

New York, NY

Past

September 24, 2019 - October 15, 2021

FINPOSTFIN LLC

CRD#: 297463

NEW YORK, NY

Past

June 6, 2007 - April 8, 2022

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

November 14, 2005 - June 5, 2007

WEDBUSH SECURITIES INC.

CRD#: 877

PASADENA, CA

Past

August 23, 2002 - September 26, 2005

STERLING FINANCIAL INVESTMENT GROUP, INC.

CRD#: 41506

BOCA RATON, FL

Past

May 1, 2001 - September 20, 2001

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

September 15, 2000 - May 1, 2001

JPMSI

CRD#: 15733

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Connecticut
(4/4/2022)

New York
(4/4/2022)

Exams

State Security Law Exam

Series 63

Date: 12/22/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/14/2000

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

CITIZENS JMP SECURITIES, LLC

CRD#: 22208 / SEC#: , 8-39613

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

101 California Street Ste 1700, San Francisco, CA 94111

Mailing Address

101 California Street Ste 1700, San Francisco, CA 94111

Phone number

(415) 835-8900

Established

Delaware since 01/01/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
JMP HOLDING LLC	PARENT COMPANY
CONROY, WALTER IVOR	GENERAL COUNSEL	6641487
GREGORY, JOHN	PRESIDENT	4600619
JACKSON, RAYMOND SIVA	CHIEF FINANCIAL OFFICER	5563363
MANNING, SIMON STONE	SENIOR REGISTERED OPTIONS PRINCIPAL (SROP)	1941279
MCLAUGHLIN, BRENDAN	CHIEF COMPLIANCE OFFICER	2562815
O'DAY, JAMES CORTLAND	HEAD OF EQUITIES	5618215
SLADER, GAVIN WILLEY	HEAD OF INVESTMENT BANKING	4130019
SPURR, JEFFREY HOLMES	HEAD OF RESEARCH	1384716
SUCHY, GREGORY JOHN	CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER	5907019
WHITEHEAD, AIDAN PETER	HEAD OF TRADING & SALES TRADING	2474257
XIAO, ZHUO VIVIAN XUAN	FINOP	5121578

Disclosures

Regulatory Event

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James Alfaro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Alfaro's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINPOSTFIN LLC

MAXIM GROUP LLC

WEDBUSH SECURITIES INC.

STERLING FINANCIAL INVESTMENT GROUP, INC.

J.P. MORGAN SECURITIES INC.

JPMSI

State Registrations and Notice Filings

Exams

Series 63

Date: 12/22/2000

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/14/2000

FINRA

Nasdaq Stock Market

Current Firm

CITIZENS JMP SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CITIZENS JMP SECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors