James S. Gimbel
Professional summary
James Somerset Gimbel is a registered financial professional currently at BERENBERG CAPITAL MARKETS LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1998. James has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Somerset Gimbel's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 6, 2020 - Present
BERENBERG CAPITAL MARKETS LLC
Office #1: 1251 Avenue Of The Americas 53rd Floor, New York, NY 10020September 3, 2019 - December 10, 2019
MARKET SECURITIES, LLC
January 25, 2016 - July 1, 2019
PIPER SANDLER & CO.
September 24, 2013 - October 20, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 2008 - September 25, 2013
J.P. MORGAN SECURITIES LLC
July 18, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
July 2, 1998 - July 21, 2008
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/31/2002
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
BERENBERG CAPITAL MARKETS LLC
CRD#: 156757 / SEC#: , 8-68821
Contact information
FINRA licenses (14 States and Territories)
Documents
Red Flags
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