James G. Law
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 Gayle Law, who also goes by Jim Law, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 6 firms and has passed the Series 63, SIE, Series 56, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2015 - January 11, 2016
AVATAR SECURITIES, LLC
April 13, 2006 - May 11, 2006
SHS SECURITIES, INC.
January 13, 2004 - January 6, 2006
CAPIS
October 1, 2002 - February 10, 2003
WORTHINGTON SECURITIES, L.L.C.
March 1, 2002 - May 23, 2002
HUBERMAN FINANCIAL INC.
April 8, 1999 - October 29, 2001
COASTAL SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 56
Date: 1/30/2015
Proprietary Trader Qualification ExaminationSeries 55
Date: 4/15/1999
Limited Representative-Equity Trader ExamCurrent Firm
AVATAR SECURITIES, LLC
CRD#: 147763 / SEC#: , 8-67932
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVATAR TRADING GROUP, LLC | HOLDING CO. | |
| DEETER, MISHA BODHI | MEMBER | 5132163 |
| BROWSKI, ANDREW CHARLES | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 5778834 |
| HOLLAND, RAYMOND F | CO-MANAGING MEMBER | 5509397 |
| KATHWARI, OMAR FAROOQ | CO-MANAGING MEMBER | 5509343 |
| SLOAN NOWAK, JACQUELINE LEE | FINOP/PRINCIPAL FINANCIAL OFFICER | 2717305 |
Disclosures
| Regulatory Event | 1 |
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.
