James J. Bang
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 J Bang, who also goes by James J Bang, James Jae Hyuk Bang, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2005. James had worked at 14 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2021 - August 10, 2021
NEWMARK SECURITIES, LLC
March 13, 2020 - May 27, 2020
CFWP SECURITIES, LLC
March 13, 2020 - November 20, 2020
CASTLEOAK SECURITIES, LP
March 13, 2020 - July 1, 2021
SUNRISE BROKERS LLC
March 13, 2020 - August 10, 2021
MINT BROKERS
March 13, 2020 - August 10, 2021
GFI SECURITIES LLC
March 13, 2020 - August 10, 2021
FMX EXECUTION, LLC
March 13, 2020 - August 10, 2021
CF SECURED, LLC
March 13, 2020 - August 10, 2021
CANTOR FITZGERALD & CO.
March 13, 2020 - August 10, 2021
BGC FINANCIAL, L.P.
March 13, 2020 - August 10, 2021
AQUA SECURITIES L.P.
July 25, 2014 - November 13, 2014
G-TRADE SERVICES LLC
January 31, 2007 - November 13, 2014
COWEN EXECUTION SERVICES LLC
November 2, 2005 - March 20, 2006
TAFFERER TRADING, LLC
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 99TO
Date: 3/13/2020
Operations Professional ExaminationCurrent Firm
NEWMARK SECURITIES, LLC
CRD#: 309193 / SEC#: , 8-70554
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWMARK PARTNERS, L.P. | SOLE MEMBER | |
| DAVIS, JOSHUA | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | 7761240 |
| KUEHNEN, ERIC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 4577416 |
| PAULSON, KENNETH MICHAEL | CHIEF FINANCIAL OFFICER | 2862259 |
| SMIGEL, STEPHEN JARED | CHIEF EXECUTIVE OFFICER AND PRINCIPAL OPERATIONS OFFICER | 2401258 |
Red Flags
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