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JS

James H. Slagter

Some features on this profile are disabled
CRD#: 3089028
JS

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 Hye Slagter was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1998. James had worked at 3 firms and has passed the Series 63, Series 7, Series 10 and Series 9 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

May 9, 2012 - December 10, 2012

IRC SECURITIES LLC

BD
CRD#: 150022
NEW YORK, NY
Past

January 11, 2006 - April 6, 2006

MKM PARTNERS LLC

BD
CRD#: 114666
GREENWICH, CT
Past

August 13, 1998 - December 31, 2005

ROCHDALE SECURITIES LLC

BD
CRD#: 6863
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: 9/14/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/8/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/27/1999
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/27/1999
General Securities Sales Supervisor - Options Module Examination

Current Firm

IS
IRC SECURITIES LLC
INVESTMENT RESEARCH CONSORTIUM SECURITIES LLC | IRC SECURITIES LLC

CRD#: 150022 / SEC#: , 8-68208

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

Main Address
420 Lexington Avenue Suite 300, New York, NY 10170
Mailing Address
420 Lexington Avenue Suite 300, New York, NY 10170
Phone number
(646) 355-0940
Established
Delaware since 06/30/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
INVESTMENT RESEARCH CONSORTIUM100% OWNER
COOPER, NANCY JOANFINANCIAL OPERATIONS PRINCIPAL4029120
O'DAY, BRIAN THOMASCEO/PRESIDENT/CCO1331173

Disclosures

Regulatory Event1

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

IRC SECURITIES LLC

CRD#: 150022

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