James D. Finlayson
Professional summary
James Drew Finlayson is a registered financial professional 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 3 firms and has passed the Series 63, Series 3, SIE, Series 55, Series 7, Series 27, Series 4 and Series 24 exams.
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Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Drew Finlayson's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 7, 2023 - Present
ELEQUIN SECURITIES LLC
Office #1: 1333 Broadway Suite 500, New York, NY 10018Office #2: 1333 Broadway 5th Floor Ste. 500, New York, NY 10018March 8, 2000 - October 17, 2003
MAPLE ARBITRAGE INC.
February 8, 1999 - April 28, 2017
MAPLE SECURITIES U.S.A. INC.
State Registrations and Notice Filings
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Exams
Series 55
Date: 4/13/1999
Limited Representative-Equity Trader ExamCboe BZX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Current Firm
ELEQUIN SECURITIES LLC
CRD#: 311650 / SEC#: , 8-70654
Contact information
Documents
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