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JD

James C. Dolan

LEVEL MARKETS
Boston, MA 02110
Some features on this profile are disabled
CRD#: 3219968
JD

Professional summary

James Christopher Dolan, who also goes by James Dolan, is a registered financial professional currently at LEVEL MARKETS, LLC located in Boston, Massachusetts.

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 99TO, SIE, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Dolan

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) - BD

Click below to view James Christopher Dolan's CRS (Customer Relationship Summary).

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

Current

September 3, 2015 - Present

LEVEL MARKETS, LLC

Office #1: 99 Summer Street Suite 1700, Boston, MA 02110
BD
CRD#: 171752
Boston, MA
Past

March 6, 2008 - September 22, 2015

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA
Past

May 7, 1999 - August 26, 1999

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI

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

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/25/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LM
LEVEL MARKETS, LLC
BEACON TRADING & ANALYTICS LLC | LUMINEX TRADING & ANALYTICS LLC | LEVEL MARKETS, LLC | KEZAR TRADING, LLC

CRD#: 171752 / SEC#: , 8-69476

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

Main Address
99 Summer Street Suite 1700, Boston, MA 02110
Mailing Address
99 Summer Street Suite 1700, Boston, MA 02110
Phone number
(617) 286-8080
Established
Delaware since 04/28/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
LEVEL HOLDINGS, LLCOWNER
DOLAN, JAMES CHRISTOPHERCHIEF COMPLIANCE OFFICER3219968
HAGEN, DAVID WALTERCHIEF PRODUCT OFFICER2101752
LINARES, JOHN FITZGERALDGENERAL COUNSEL, CORPORATE SECRETARY3104547
MIELE, STEPHEN RCHIEF EXECUTIVE OFFICER2645590
STUPAY, MICHAEL ELLIOTFINOP,PRINCIPAL OPERATIONS OFFICER, PRINCIPAL FINANCIAL OFFICER2287906

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

LEVEL MARKETS, LLC

CRD#: 171752Boston, MA 02110

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