AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AJ

Aron James

RQD* CLEARING
New York, NY 10007
Some features on this profile are disabled
CRD#: 4002437
AJ

Professional summary

Aron James, who also goes by Aron Cory James, is a registered financial professional currently at RQD* CLEARING, LLC located in New York, New York and OPTIMAL EXECUTIONS, 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 11 firms and has passed the Series 63, Series 57TO, Series 7TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Aron Cory James

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 James'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

October 30, 2025 - Present

RQD* CLEARING, LLC

Office #1: One World Trade Center Suite 47m, New York, NY 10007
BD
CRD#: 134284
New York, NY
Current

April 12, 2026 - Present

OPTIMAL EXECUTIONS, LLC

Office #1: One World Trade Center Suite 47m, New York, NY 10007
BD
CRD#: 336439
NEW YORK, NY
Past

April 15, 2016 - August 11, 2017

ELEVATION, LLC

BD
CRD#: 140341
JERSEY CITY, NJ
Past

March 10, 2015 - March 31, 2016

DASH FINANCIAL TECHNOLOGIES LLC

BD
CRD#: 104031
NEW YORK, NY
Past

June 26, 2014 - March 23, 2015

ELEVATION, LLC

BD
CRD#: 140341
JERSEY CITY, NJ
Past

December 3, 2013 - July 25, 2014

SOURCE CAPITAL GROUP, INC.

BD
CRD#: 36719
WESTPORT, CT
Past

March 25, 2013 - July 3, 2013

DRIVEWEALTH INSTITUTIONAL LLC

BD
CRD#: 33038
NEW YORK, NY
Past

January 24, 2006 - March 28, 2013

SARATOGA CAPITAL MARKETS

BD
CRD#: 120888
NEW YORK, NY
Past

January 12, 2004 - January 13, 2006

FAGENSON & CO., INC.

BD
CRD#: 1781
NEW YORK, NY
Past

January 6, 2003 - December 10, 2003

BROKERAGEAMERICA, LLC

BD
CRD#: 47966
NEW YORK, NY
Past

September 9, 2002 - November 20, 2002

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

July 24, 2001 - September 9, 2002

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

July 17, 2000 - August 31, 2000

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
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
RR
Series 63
Date: 9/18/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 5/4/2026
Securities Trader Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/11/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/11/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/18/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/14/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/16/2011
General Securities Principal Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
FINRA

Current Firm

OE
OPTIMAL EXECUTIONS, LLC
OPTIMAL EXECUTIONS, LLC

CRD#: 336439 / SEC#: , 8-71367

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

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
(929) 506-5036
Established
Delaware since 12/02/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
OPTIMAL HOLDINGS, INCMANAGING MEMBER
DEROSA, ANTHONY ROCCOCFO & FINOP7462224
DONNELLY, BRIAN PATRICKFOUNDER, CHAIRMAN AND CEO4906429
WANZOR, FRANK JOSEPHCHIEF COMPLIANCE OFFICER2628672

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

OPTIMAL EXECUTIONS, LLC

CRD#: 336439New York, NY 10007

TRUST BUT VERIFY

Monitor Aron James

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Elizabeth Katz Miller
Elizabeth MillerAdvisorCheck Check Mark
SUMMIT PLACE FINANCIAL ADVISORS, LLC
IAR
Summit, NJ
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Anthony J. Macagna
Anthony MacagnaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
PARAMUS, NJ
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.