James Drew Finlayson
Professional Summary
James Drew Finlayson is a registered financial advisor currently at ELEQUIN SECURITIES LLC located in New York, New York. James is registered as a RR (Registered Representative) and started their career in finance in 1999. James has worked at 4 firms and has passed the Series 63, Series 3, SIE, Series 55, Series 7, Series 27, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
ELEQUIN SECURITIES LLC
Contact Information
Main Address
1333 Broadway Suite 500, New York, NY 10018Mailing Address
1333 Broadway Suite 500, New York, NY 10018Phone Number
(929) 346-7126Established
Delaware since 04/07/2020Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Apr 1999SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Drew Finlayson's CRS (Customer Relationship Summary).
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