Aron C. James

RQD* CLEARING

New York, NY 10007

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CRD#: 4002437

Professional summary

Aron Cory James is a registered financial professional currently at RQD* CLEARING, LLC located in New York, New York.

Aron is registered as a RR (Registered Representative) and started their career in finance in 2000. Aron has worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Aron Cory James's CRS (Customer Relationship Summary).

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

October 30, 2025 - Present

RQD* CLEARING, LLC

Office #1: One World Trade Center Suite 47m, New York, NY 10007

CRD#: 134284

New York, NY

Past

April 15, 2016 - August 11, 2017

ELEVATION, LLC

CRD#: 140341

JERSEY CITY, NJ

Past

March 10, 2015 - March 31, 2016

DASH FINANCIAL TECHNOLOGIES LLC

CRD#: 104031

NEW YORK, NY

Past

June 26, 2014 - March 23, 2015

ELEVATION, LLC

CRD#: 140341

JERSEY CITY, NJ

Past

December 3, 2013 - July 25, 2014

SOURCE CAPITAL GROUP, INC.

CRD#: 36719

WESTPORT, CT

Past

March 25, 2013 - July 3, 2013

DRIVEWEALTH INSTITUTIONAL LLC

CRD#: 33038

NEW YORK, NY

Past

January 24, 2006 - March 28, 2013

SARATOGA CAPITAL MARKETS

CRD#: 120888

NEW YORK, NY

Past

January 12, 2004 - January 13, 2006

FAGENSON & CO., INC.

CRD#: 1781

NEW YORK, NY

Past

January 6, 2003 - December 10, 2003

BROKERAGEAMERICA, LLC

CRD#: 47966

NEW YORK, NY

Past

September 9, 2002 - November 20, 2002

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

July 24, 2001 - September 9, 2002

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

Past

July 17, 2000 - August 31, 2000

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

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

State Security Law Exam

Series 63

Date: 9/18/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/11/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/11/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 8/18/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/14/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/16/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

RQD* CLEARING, LLC

CRD#: 134284 / SEC#: , 8-66826

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

One World Trade Center Suite 47m, New York, NY 10007

Mailing Address

One World Trade Center Suite 47m, New York, NY 10007

Phone number

(646) 804-7900

Established

Delaware since 02/19/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
RQD HOLDING INC.	OWNER
DEROSA, ANTHONY ROCCO	CFO & FINOP	7462224
DONNELLY, BRIAN PATRICK	FOUNDER AND CHAIRMAN	4906429
LOUIS, NICOLAS	COO	4785115
SANOCKI, MICHAEL	CEO	6681188
WANZOR, FRANK	CHIEF COMPLIANCE OFFICER

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Aron C. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Aron Cory James's CRS (Customer Relationship Summary).

Certified licenses

Experience

ELEVATION, LLC

DASH FINANCIAL TECHNOLOGIES LLC

ELEVATION, LLC

SOURCE CAPITAL GROUP, INC.

DRIVEWEALTH INSTITUTIONAL LLC

SARATOGA CAPITAL MARKETS

FAGENSON & CO., INC.

BROKERAGEAMERICA, LLC

GOLDMAN SACHS & CO. LLC

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/18/2002

Series 7TO

Date: 8/11/2025

SIE

Date: 8/11/2017

Series 55

Date: 8/18/2000

Series 7

Date: 7/14/2000

Series 24

Date: 8/16/2011

FINRA

Current Firm

RQD* CLEARING, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

RQD* CLEARING, LLC

TRUST BUT VERIFY

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