JR
James S. Rubinstein
INTERACTIVE BROKERS
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 3254750
JR
Professional summary
James Samuel Rubinstein, who also goes by James Rubinstein, is a registered financial professional currently at INTERACTIVE BROKERS CORP. located in Greenwich, Connecticut and INTERACTIVE BROKERS LLC located in Greenwich, Connecticut.
James is registered as a RR (Registered Representative) and started their career in finance in 1999. James has worked at 9 firms and has passed the Series 63, SIE, Series 57, Series 3, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Rubinstein
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.
CRS (Client Relationship Summary) - BD
Click below to view James Samuel Rubinstein'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®
NoneExperience
Current
June 25, 2025 - Present
INTERACTIVE BROKERS CORP.
Office #1: Pickwick Plaza, Greenwich, CT 06830BD
CRD#: 117942
Greenwich, CT
Current
July 16, 2025 - Present
INTERACTIVE BROKERS LLC
Office #1: Pickwick Plaza, Greenwich, CT 06830BD
CRD#: 36418
Greenwich, CT
Past
February 28, 2022 - May 31, 2023
LIQUIDNET, INC.
BD
CRD#: 103987
NEW YORK, NY
Past
March 30, 2021 - December 24, 2021
BNP PARIBAS SECURITIES CORP.
BD
CRD#: 15794
NEW YORK, NY
Past
October 11, 2018 - April 13, 2021
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
June 14, 2006 - July 12, 2018
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
October 20, 2004 - June 12, 2006
FLEXTRADE LLC
BD
CRD#: 113226
GREAT NECK, NY
Past
August 1, 2000 - November 20, 2002
INSTINET, LLC
BD
CRD#: 42886
NEW YORK, NY
Past
September 24, 1999 - August 1, 2000
REUTERS C CORPORATION
BD
CRD#: 14408
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/18/2025)
RR
Alaska(8/15/2025)
RR
Arizona(7/24/2025)
RR
Arkansas(8/20/2025)
RR
California(8/18/2025)
RR
Colorado(7/16/2025)
RR
Connecticut(6/25/2025)
RR
Delaware(8/18/2025)
RR
District of Columbia(7/17/2025)
RR
Florida(7/16/2025)
RR
Georgia(8/18/2025)
RR
Hawaii(8/19/2025)
RR
Idaho(7/21/2025)
RR
Illinois(7/16/2025)
RR
Indiana(8/29/2025)
RR
Iowa(8/19/2025)
RR
Kansas(8/18/2025)
RR
Kentucky(7/16/2025)
RR
Louisiana(7/16/2025)
RR
Maine(8/18/2025)
RR
Maryland(7/17/2025)
RR
Massachusetts(8/18/2025)
RR
Michigan(7/16/2025)
RR
Minnesota(7/16/2025)
RR
Mississippi(7/16/2025)
RR
Missouri(8/18/2025)
RR
Montana(7/16/2025)
RR
Nebraska(7/16/2025)
RR
Nevada(8/17/2025)
RR
New Hampshire(8/18/2025)
RR
New Jersey(6/25/2025)
RR
New Mexico(8/17/2025)
RR
New York(8/17/2025)
RR
North Carolina(8/18/2025)
RR
North Dakota(8/18/2025)
RR
Ohio(8/20/2025)
RR
Oklahoma(7/16/2025)
RR
Oregon(8/18/2025)
RR
Pennsylvania(8/18/2025)
RR
Puerto Rico(10/23/2025)
RR
Rhode Island(8/18/2025)
RR
South Carolina(7/16/2025)
RR
South Dakota(7/16/2025)
RR
Tennessee(8/18/2025)
RR
Texas(7/16/2025)
RR
Utah(8/19/2025)
RR
Vermont(8/25/2025)
RR
Virgin Islands(8/21/2025)
RR
Virginia(8/21/2025)
RR
Washington(8/15/2025)
RR
West Virginia(8/21/2025)
RR
Wisconsin(8/19/2025)
RR
Wyoming(8/18/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/26/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
IB
INTERACTIVE BROKERS LLC
INTERACTIVE BROKERS LLC
CRD#: 36418 / SEC#: , 8-47257
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
Pickwick Plaza, Greenwich, CT 06830
Mailing Address
One Pickwick Plaza, Greenwich, CT 06830
Phone number
(203) 618-5710
Established
Connecticut since 03/09/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IBG LLC | MANAGING MEMBER | |
| BRODY, PAUL JONATHAN | SECRETARY, PRINCIPAL OPERATIONS OFFICER | 1722066 |
| CHAIT, JONATHAN | EXECUTIVE VICE PRESIDENT, COO | 4582696 |
| FRIEDLAND, DAVID ERIC | MANAGING DIRECTOR-ASIAN OPERATIONS | 2715164 |
| GALIK, MILAN | CHIEF EXECUTIVE OFFICER | 2204066 |
| GELMAN, JONATHAN MICHAEL | CHIEF COMPLIANCE OFFICER | 5440103 |
| MANDELBAUM, ELAINE | GENERAL COUNSEL | 2957713 |
| MENICUCCI, JAMES | PRINCIPAL FINANCIAL OFFICER | 6590173 |
| SANDERS, STEVEN JAY | SENIOR VICE PRESIDENT, MARKETING AND PRODUCT DEVELOPMENT | 2812548 |
| SHAO-CHEN, KENGNING | TREASURER | 5910386 |
Disclosures
| Regulatory Event | 93 |
| Arbitration | 26 |
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.
